Avp, Regulatory Accounting

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Jersey City office is seeking a Senior Enterprise Risk Management Analyst to join our Operational Enterprise Risk Management group. This role will build and implement robust risk frameworks across the business. This Senior Analyst will be engaging with stakeholders across a multitude of business areas and departments firm-wide, with potential exposure to C-level leadership. This individual will have the opportunity to drive their value proposition and implement best practices across our various business lines.
Responsibilities will include, but are not limited to:
* Understand financial and non-financial risk disciplines with strong interpersonal, written, and verbal communication skills
* Assist with enterprise-wide risk management frameworks, enterprise risk programs, highlight opportunities for process improvement, provide feedback on policy updates associated with regulatory items requiring remediation
* Identify and address gaps between different areas within the organization
* Engage proactively with first line of defense in managing risk incidents and aid in driving the resolution effort
* Collaborate with first-line business areas in creating KPCs that are directly aligned to key risks noted in the RCSA
* Lead and maintain reports from Management Risk Committees
* Perform other tasks and duties as required and assigned
Experience and Skills
* Bachelor's Degree from an accredited university
* Minimum 3 years of experience in a financial institution covering ERM components (End-to-end RCSA, KRI/KPIs, Risk Management Committee Reporting)
* Active Series 7 License preferred
* Financial services, enterprise risk management, or finance background preferred
* Ability to proactively manage all aspects of incident reporting as well as drive the resolution effort
* Experience establishing framework in accordance with industry best practices
* Possess an assessment, process, and control-oriented mindset
* Experience with GRC tools, developing data-driven analysis, qualitative assessments, and analytical visualizations
* Experience analyzing firmwide issues for macro themes, patterns, clustering, and emerging risks
* Strong MS Office skills (Excel, Access, Word, PowerPoint) with the ability to streamline data, design, and standardize risk reporting
What We Offer
Benefits:
What Wedbush Offers You
As part of the overall compensation package, Wedbush Securities (WS) offers an array of diverse benefits to our Colleagues.
* Comprehensive medical, dental, and vision coverage with multiple health plan options
* Health Savings Account (HSA) with company-sponsored contributions
* Flexible Spending Accounts (FSA) traditional and dependent care
* Pre-Tax Commuter Benefits
* 401(k) Plan: competitive discretionary company matching and profit-sharing contributions
* Tuition reimbursement ($5,250 max per year)
* Paid Vacation, Sick Time, Holidays, Volunteer Time Off
* Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
* FINRA and Professional License Sponsorship
* Charitable Donation Matching Contributions
* Travel & Employee Assistance and Employee Discount Programs
* Discretionary compensation based on the colleague's and the firm's performance
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $81,000-$107,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview