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Wealth Management - Risk and Control Lead, Vice President

Req #: 180025591
Location: Newark, DE, US
Job Category: Operations
Potential Referral Amount: 0 US Dollar (USD)
The Risk and Control Lead sits within WM Core Operations and acts as an independent resource to test the controls of the organization, highlight the health of the organization and provide detective and preventative tools for Core Operations to use to mitigate risk. 
 
The individual will join the WM Securities Operations team providing specific support for Account Transfers, OPM Support, Custody Mid Office, Reconciliations, and Abandoned Property.  Broad responsibilities include managing Control Reviews, supporting RCSA / OLO / COI / Reg 9 reviews, coordinating Compliance Testing and Regulatory reviews,  managing Audit Requests from internal and external partners, and reviewing policies and procedures to ensure they meet control standards.
 
This individual is expected to manage medium-large scale initiatives that require collaboration with WM Operations teams around the globe. The position requires direct interface across all levels of management and so intermediate-advanced communications competency is required.  Strong time management and organizational skills are essential to success in this role, as well as the ability to identify the need to escalate when appropriate. 
  • Strong communications and interpersonal skills, including dispute resolution
  • Detail oriented and committed to consistent quality
  • Excellent time and project management skills
  • Excellent computer skills: MS Office Suite (PowerPoint, Word, Excel, Access)
  • Strong analytical and problem-solving ability
  • Highly motivated
  • Able to operate with minimal oversight
  • Can quickly adapt to work flow variation and change
  • Forward-looking and creative thinker
  • Ops 99 or equivalent (if none, will need to address this requirement within 90 days of starting the role)
Experience
  • Experience in risk management, metrics management, business management or other roles with coordination responsibilities across a diverse set of stakeholders
  • Experience with operations and product support preferred
  • Experience in managing projects preferred
  • Experience in direct interface with Senior Management / Senior Leadership
Education
  • A.S. / B.S. Degree or equivalent work experience
Operations Manager Series 99 Certification required or can be obtained within 120 days
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