Head of Risk and Compliance
Where
- San Francisco, CA
What you'll be doing
- Ensure seamless integration and transparency of metrics and reporting into enterprise-risk and compliance governance mechanism. Implement robust risk practices and policies and ensure that the group actively manages its current risk and future risk as the business continues growing. Manage the board risk management reporting responsibilities, including but not limited to monthly and/or quarterly reporting for both internal and shareholder purposes. Overseeing the Basel implementation for the group and the development of models to measure credit losses that exist in the portfolio today and also for the use in booking new originations. Direct and oversee the activities of the risk and compliance team, ensuring controls are in place to meet the groups asset quality origination objectives for each of the business unit portfolios; and ensuring portfolio assessment, monitoring and reporting tools are in place to allow for excellent portfolio management. Direct, oversee and ensure a comprehensive compliance management plan is in place throughout the group, keep abreast of all changes to federal and state regulations and ensure compliance. Regularly interact with the division executives and senior management in the development, installation and execution of risk management processes. Act as the group policy expert and take responsibility for follow-up regarding any internal controls or bank policies as they impact our lending activities. Direct responsibility for the capital and operating budgets of the group, reporting on variances as required. Liaise with other executives in the group and across the bank to ensure alignment on relevant topics and to engender transparent communication.
What your background should be
- Minimum of 15 years of risk management experience within a broker dealer, registered investment adviser, asset management, or private banking area. Minimum of 5 years experience in a senior leadership or managerial capacity preferably within enterprise risk or compliance in the financial services industry. Proven experience succeeding in a complex, matrix organization with multiple business lines. Comprehensive knowledge and understanding of the financial, operational, technical and regulatory environment across multiple lines of business in financial services. Knowledge of operational risk regulatory requirements methodologies, operations and systems. Investor management knowledge. Strong project management skills and experience. Demonstrated leadership, mentoring and people development ability. Deep SEC and FINRA knowledge. FINRA Series licenses 4, 7 and 9 highly preferred.
Required Schooling / Training
- Bachelor degree, ideally in business or finance.
Who is the client company
- This is a diversified financial services holding company.
- If you are interested in this position, send your resume to apply@kochdavis.com
