Business Unit Risk Specialist I/II - FINRA

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Regular or Temporary:

Regular

Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Business risk specialist responsible for supporting and executing governance activities, operational risk monitoring, issue management, remediation tracking, and enterprise risk program implementation across Wealth Management. Serves as a key contributor to operational risk management efforts by providing analysis, coordination, stakeholder support, and governance execution while reinforcing business ownership of risk, operational accountability, and adherence to enterprise governance requirements. Delivers visibility and analysis into operational risk trends, remediation progress, governance priorities, and business readiness activities through ongoing monitoring, reporting, and coordination activities.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

Risk Culture & Operational Integration 1. Assess, evaluate, and communicate risk and governance issues, while promoting business ownership of risk and operational accountability through stakeholder engagement. 2. Execute enterprise risk program requirements and governance activities across Wealth Management including assessing, monitoring, and escalating operational, control, and regulatory concerns. Governance, Reporting & Leadership Support 3. Analyze and interpret KRIs, risk reporting, and remediation activity, coordinating governance actions and commitments to promote accountability and effective risk management outcomes. 4. Facilitate governance forums, escalations, and committee activities, including developing reporting and risk insights to inform leadership decisions and operational oversight. Business Coordination & Operational Support 5. Partner with ECCO, Compliance, Audit, Legal, and enterprise governance partners to advance governance objectives, stakeholder communication, and remediation efforts. 6. Prepare audit, regulatory, and enterprise review readiness, including operational readiness activities for business initiatives, governance requirements, and enterprise programs. Business-Specific Risk Support & Execution 7. Assess and understand enterprise risk program activities, including RCSA, issue management, risk monitoring, and remediation tracking across supported business areas. 8. Analyze incidents and risk trends, assess remediation effectiveness, and evaluate process weaknesses to identify risk mitigation opportunities and strengthen governance outcomes.