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The Business Risk Officer (BRO) is a strategic professional who stays abreast of developments within the Capital Markets field and contributes to directional strategy by considering their application in their own job and the business. The BRO is a recognized supervisory authority for the Capital Markets business. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others in their OSJ as well as others in other areas of the Private Bank. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology, operations and risk concerns of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

Responsibilities:

• Responsible for the direct supervision of investment sales activities in the designated Office of Supervisory Jurisdiction (OSJ)
• Perform daily reviews in support of the OSJ and its Registered Representatives; this may include but is not limited to, email surveillance, correspondence, marketing materials, complaints, outside activities, licensing/registration.
• Review and dispositioning of designated supervisory reports
• Partner with Regional Supervisory Head and the Supervision team on the resolution of escalated supervisory issues
• Review and approval of designated bank-channel and broker-dealer investments
• Manage surveillance alerts within stated policy guidelines
• Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional Business Management and Sales Management
• Assist with ad-hoc projects and/or work-flow and system testing as assigned by manager
• Assist with conducting periodic control meetings as well as audits and examinations.

• Qualifications:
• FINRA Series 7, 9/10 or 4 & 24, 66 (63 and 65) FINRA licenses - if missing one of these required licenses, ability to obtain required licensing within 90 days.
• 5 + years relevant work experience in Supervision or financial services
• MS Excel, MS Access, SAS, SQL, Visual Basic a plus.
• Effective organizational influencing skills required.
• Demonstrated ability to develop and implement strategy and process improvement initiatives.
• Strong organizational and time management skills
• Ability to work independently and execute on agreed upon timelines
• Excellent problem-solving skills, with high attention to critical details.
• Demonstrated ability to contribute to/participate in process improvement initiatives
• Product knowledge of Options, Fixed Income, FX & Derivatives a plus
• Knowledge of bank and broker-dealer business, regulatory requirements and related policies
• Ability integrating and balancing diverse priorities

Education:

• Bachelor’s/University degree or equivalent experience

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