We are seeking a highly motivated and analytical professional to join our Independent Risk Management team as a Director of Conduct Risk. This role will report to the Vice President and Head of Enterprise Conduct Risk Management. The incumbent will help support the oversight of conduct risk for the Company. The incumbent will be responsible for identifying, measuring, monitoring, and reporting on conduct risks and data analytics. This role is critical in providing independent oversight and challenge of conduct risks across the enterprise, with a focus on ensuring behaviors and processes align with regulatory expectations and our company’s Risk Appetite.
As a trusted colleague in the second line of defense, you will assess behavioral data, evaluate control environments, drive automation of reporting processes, and present actionable insights to senior leadership and governance committees. This position offers exposure to enterprise-level risk management, frequent interaction with stakeholders across the business, and an opportunity to influence key decisions that promote sound risk culture and accountability.
Key Responsibilities:
- Leverage technology and data analytics to produce clear aggregate reporting on conduct risk to senior executives
- Provide independent oversight of the first-line business activities to ensure conduct risks are appropriately identified, assessed, and managed
- Maintain a thorough understanding of regulatory requirements to guide conduct risk practices in line with applicable laws and standards
- Perform periodic scheduled reviews and sample-based testing to evaluate the adequacy and effectiveness of conduct risk management strategies and control mechanisms
- Incorporate relevant insights from independent risk management activities, industry practices, emerging trends, and regulatory developments into broader Conduct Risk governance framework
- Effectively coach, train and develop a team in all aspects of their role
- Handle confidential information with impeccable integrity
Minimum Qualifications:
- 8+ years of experience in risk management within the financial services industry, specific expertise in compliance or enterprise risk management preferred
- Bachelor’s degree in Finance, Data Science, Risk Management, Business Administration or related field
- Proven experience in data aggregation and analysis, particularly in a financial or regulatory environment
- Excellent written and verbal communication skills, with the ability to present findings to executive leadership and stakeholders clearly and concisely
- Ability to Influence and help embed a strong risk-aware culture throughout the organization, encouraging proactive risk management behaviors at all levels
- Prior experience managing regulatory exams and supervisory engagements
- Understanding of risk management principles, frameworks, and regulatory requirements
- Team management experience
Preferred Qualifications:
- Independent Risk Management with a GSIB
- Master’s degree or relevant formal certification
Salary Range: $130,000.00 to $205,000.00 annually + bonus + equity (if applicable) + benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we’ll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones’ physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
- Competitive base salaries
- Bonus incentives
- 6% Company Match on retirement savings plan
- Free financial coaching and financial well-being support
- Comprehensive medical, dental, vision, life insurance, and disability benefits
- Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
- 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
- Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
- Free and confidential counseling support through our Healthy Minds program
- Career development and training opportunities
