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Role Summary

Applies knowledge to improve risk management within Advice Solutions. Applies understanding of the design and operating effectiveness of internal controls and operating procedures to advise the business line on executing the risk program, responsible product offer scaling, and delivering an outstanding client experience.

Responsibilities

• Leveraging comprehensive knowledge of business line, examines existing processes, operational controls, and policies; identifies control gaps; and helps make initial recommendations on potential treatments for any gaps found within a business line.
• Expands knowledge of the Advice Solutions business line; understands standards, guidelines, and regulations the business line is subject to; and helps monitor compliance across the business line.
• Evaluates potential courses of action to address issues identified and recommends solutions.
• May work with internal auditors, researching and providing information when assigned business line is audited and report on identified gaps to senior staff.
• Proactively identifies and addresses potential gaps and issues that may occur within the business line across the spectrum of all Advice Solutions product offers.
• Operate various Advice Solutions controls as delegated to ensure business line continuity, operational efficiency, and risk management.
• Collaborate cross-functionally with internal and external business partners to execute program initiatives, resolve issues, and maintain overall business operations.
• Continues to develop an understanding of organizational risk culture and the application to assigned business line.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 4+ years of total relevant work experience
• FINRA Series 7, Series 66 (or Series 63/Series 65), and Series 24

Preferred:

• Comprehensive knowledge of II Advice Solutions product offers
• Experience working with the following tools and systems: NetX360, AWD 10, FolioDynamix, Wealth Portal, and Salesforce
• Collaborative, team player
• Strong analytical, problem solving and critical thinking skills
• High attention to detail and strong organizational skills
• Excellent written and verbal communication skills
• Strong issue management, quality assurance, and governance discipline.

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.