Chief Risk Officer

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JOB DESCRIPTION

Job #: 18764
Status: Inactive / Filled
Title: Chief Risk Officer
Job Location: Alabama
Base Compensation: $200,000 — $225,000
Total Compensation: $300,000 — $300,000
Benefits: health, life, dental, PTO, pensionand 401K
Is Employer Willing to Relocate?: Yes
Employment Type: Full Time / Direct Hire
Job Categories: Accounting; Compliance & Legal
Industries: Financial Services

WHY IS THIS A GREAT OPPORTUNITY?

This is an opportunity for a C-Suite position with a top financial services company. The company offers a competitive compensation package, desirable group benefits, a significant career growth opportunity, and a quality lifestyle.

JOB DESCRIPTION

Reporting to the CEO, the Chief Risk Officer (CRO) will be based at the home office located in the Southeast. The CRO will manage the risk management team and provide independent oversight of enterprise risks. He/she will manage a team which currently consists of over 25 Risk, Due Diligence and Compliance professional staff. Direct reports to the CRO will include the Chief Compliance Officer of the Broker Dealer and RIA and the head of Risk / Due Diligence. The Risk Management team will measure and monitor risk across the enterprise, stress test for appropriate scenarios and provide objective advice on potential actions and strategies to mitigate risk. The CRO and team will further develop, recommend and administer the risk management, policies, processes and systems to ensure that the organization operates within identified risk parameters via the organization’s strategic risk appetite. He / she will work in conjunction with peers to identify and minimize the organization’s total risk exposure and chair the company’s Enterprise Risk Committee. He/ she will work to ensure continued integration of information and tools, including creation of a Risk Management Dashboard, to provide a current view of risk or concurrently what may be a risk depending on certain factors or decision making.

The position drives a strong focus on risk reduction across the enterprise including:
• Product risk
• Credit and market risk
• Trading and hedge risk
• Interest rate risk
• Operational risk
• Regulatory and reputation risk

QUALIFICATIONS

The ideal candidate for this position would have the following attributes:
• Minimum of eight to ten years specializing in compliance risk management at another diversified financial services company.
• Strong financial acumen.
• Annuity, Direct Investment and RIA knowledge/experience strongly preferred
• Successful track record using education and communication tools to align the company and management with ERM goals and policies.
• Successful use of technology as a tool to implement policies as well as inform and educate managers on responsibilities and success/progress.
• Sound Judgment – Makes decisions that balance a variety of factors (e.g., cost, risk, short-term versus long-term impact) to achieve an optimal outcome. Recommends appropriate strategies for identifying and managing risks. Committed to do what’s best for the organization.
Preferred Qualifications: The successful candidate will possess the following competencies:
• Analytic Skills – Strong quantitative and analytical skills general knowledge of risk management practices.
•IMPORTANT: Knowledge of FINRA and SEC Rules governing retail broker/dealers and investment advisory firms.
• Leadership Capabilities – Having the confidence to develop the most talented people; resilient, learns from mistakes and complements self with talent in areas of weakness. Demonstrates executive and board presence. Creates a positive team culture through achievement of results, teamwork, development, accountability, competency and professionalism.
• Skilled communicator and learner – Open to other perspectives, approachable, personable. Uses facts and analysis to streamline and simplify the work. Listens and proactively communicates with peers and other senior executives/leaders in the organization.
• Develop & Leverage Relationships – Demonstrates the ability to collaborate with others, be a team player and build business relationships with peers and other senior executives/leaders. Shares information and is transparent.
• Sound Judgment – Makes decisions that balance a variety of factors (e.g., cost, risk, short-term versus long-term impact) to achieve an optimal outcome. Recommends appropriate strategies for identifying and managing risks. Committed to do what’s best for the organization.
  
Education: Bachelor's
  
Total Years of Experience: 9-10+
  
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