Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management

Description

Support the centralized risk function for Wealth Management Solutions, with a focus on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines. This role partners with business leaders, risk partners, Compliance, Legal, Internal Audit, and other stakeholders to help identify, assess, monitor, and mitigate risk across Wealth Management Solutions. The position will be available to candidates in Minneapolis, MN and Charlotte, NC.

Key Responsibilities

• Support governance, risk, and control routines to help ensure controls are designed, documented, and operating effectively to mitigate operational, financial, regulatory, and compliance risk

• Prepare and maintain regulatory reporting, control documentation, reporting dashboards, general ledger reconciliations, and related reporting processes

• Coordinate governance routines and committee materials, including product, business review, risk, conflicts, and Regulation Best Interest governance forums

• Support key governance processes, including risk program meetings, regulatory budget requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment activities, testing coordination, and annual risk assessments

• Maintain policy, procedure, and supervisory control governance routines, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, outside business activity tracking, business continuity planning, and self-monitoring routines

• Coordinate internal and external audit requests, regulatory affairs responses, vendor risk activities, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance

• Partner with business stakeholders, Internal Audit, Compliance, Legal, and other risk partners to support issue resolution and risk-informed decision making

• Identify control gaps and process improvement opportunities, assess potential risk exposure, and help implement practical remediation plans

• Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions

Required Qualifications

• 5+ years of financial services, risk management, controls, compliance, audit, broker-dealer operations, or related experience

• Bachelor’s degree or equivalent experience

• Active FINRA Series 7 and Series 24 licenses, or ability to obtain within an established timeframe

• Demonstrated ability to influence and partner across all levels of leadership

• Experience leading initiatives, driving outcomes, and managing competing priorities

• Strong analytical, organizational, and time management skills

• Ability to drive results and meet deadlines to reduce risks

• Strong written and verbal communication skills

• Must be able to work independently
  

Preferred Qualifications

• Experience with advisory products, investment products, annuities, insurance, and retirement plans

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Base Pay Salary

The estimated base salary for this role is $93,400- $128,400 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

FPPS Wealth Management Solutions