Risk Manager

Position ID: 6129 Position Title: Risk Manager Location: New York-WestchesterJob Level: DirectorDescription

Act as Primary Contact for all Audits, Reviews and Exams
oMaintain Corporate Retirement Solutions, IRA and Small Business Master Issues Log and address issues identified from:
Risk Self Assessments

Act as Business Coordinator to Ensure Compliance with Legal and Regulatory Requirements
oMonitor GWM Regulatory Updates, GWM Compliance Updates, Branch Alerts, NBOB’s, and SRO releases.
oEnsure all individuals within the group are properly registered, e.g. series 7, 63, 9, 10, 24 etc.
oEnsure all required notices are posted.
oKeep staff updated on regulatory issues that could or will affect the businesses.
oEnsure proper handling of client and other sensitive information.
oEnsure that branch personnel are meeting requirements and following proper procedures.

Maintain Policies and Procedures
oDevelop standardized policy and procedures templates.
oWork with Corporate Retirement Solutions, IRA, Small Business Product and Sales Manager(s) to ensure that policies and procedures are created, updated and stored in the Document Library System (DLS).
oManage DLS – submissions, updates and deletions.
oEstablish periodic reviews with the product managers.

Ensure that the Corporate Retirement Solutions, IRA and Small Business Central Files are Properly Maintained
oAgreements, Contracts
oAudits, Reviews, Exams
oCustomer Complaints
oErrors, Trade Adjustments, Write-offs
oLegal
oMarketing Materials, Presentations
oNon-cash Compensation Log
SAS 70 Audits if applicable
Internal and External Audits
SEC, NYSE and NASD Audits
OSJ Reviews
Other Ad Hoc Inquiries

Act as Business Coordinator for Non-Cash Compensation Processes/Communication

Act as Business Continuity Planning Coordinator
oMaintain business continuity plans.
oKeep staff informed about changes to the plans.

Act as Information Security Coordinator
oEnsure proper handling of client and other sensitive information.

Act as Supervisory Control Contact
oParticipate in supervisory control reviews conducted by the Compliance department.
oEnsure all individuals within the group are properly registered.

Act as Primary Coordinator for ERISA Bonding initiativeSkills Required

Effective written and verbal communication skills.

Strong attention to detail.

Ability to thoroughly investigate and problem solve.

Ability to identify issues and trends in order to recommend comprehensive solutions and remedies.

Ability to see an assignment through from conception to completion.

Ability to organize and prioritize work and meet deadlines.

Knowledge of SEC, NYSE, NASD, Exchange and Firm Compliance Policies.Skills Desired
5-7 years operational risk management experience
Knowledge of the Retirement Market (Corporate, IRA, Small Business –branch level accounts)
Operations background beneficial
Working knowledge/application of ERISA
MS Office products. Power Point/Excel/Project Management skills. Knowledge of operational and trading systems. Knowledge of branch level accounting/set-up/compliance review



job Requirements


(See Description)