Review and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Serve as a trusted business partner to Financial Advisor teams by providing expertise with financial services related supervision and compliance issues. Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns.
As an Operational Risk Manager, you'll support the business in embedding core elements of the risk management framework, focusing on operational resilience, give guidance on risk events, support risk assessments and scenario analysis, and become a trusted second line risk partner to different areas across the business, including the Finance team.