Director Enterprise Risk Management

Enterprise Risk Management Opportunity in Financial Services 
Director, Enterprise Risk Management 

Location(s):
20 E Thomas Road, Phoenix, AZ  85012
2300 Windy Ridge Parkway, Atlanta, GA  30339  
7755 Third Street North, Oakdale, MN  55128
877 Executive Center Drive West, St. Petersburg, FL 33702
12325 Port Grace Boulevard, La Vista, NE 68128

Role Type: Full time. Open to hybrid or fully remote candidates within the United States. 

Summary:
 The Director of Enterprise Risk Management (ERM) will be responsible for assisting in the implementation, coordination, and administration of Advisor Group’s (AG) Enterprise Risk Management program.  The Director will collaborate with stake holders in establishing, monitoring, and managing all key risks and controls in developing and maintaining a risk control framework.  This individual will provide guidance to business owners, credible challenge on control design, and validate control effectiveness.  The Director - ERM will report directly to the SVP - Head of ERM.

In this role, the director will represent ERM in various working groups and committees to provide support in evaluating risks, managing regulatory change, and assessing risk of new business initiatives.  It is expected that this individual will have knowledge and/or experience with operational processes, industry trends with utilization of new technologies for automation and control monitoring, and ability to interact with all levels of home office staff.

Why Advisor Group?  

• Competitive salary and annual bonus paid based on performance
• Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community 
• Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
•  401(k) match from day one of employment
• Referral bonuses if we hire your referred applicants to our open positions
• An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day-to-day work
•  Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events 

Responsibilities: 

•  Assist in implementing a world class Enterprise Risk Management program, covering all elements of Advisor Group’s business and corporate strategy in the context of the ever-evolving regulatory environment and corporate governance processes.  
•  Leverage broad enterprise knowledge, understanding of AG’s unique risk profile and/or expert knowledge of core business discipline(s), products, and processes.
• This role may have leadership responsibilities of one to two direct reports.
•  Communicate the Enterprise Risk Management vision across the organization.  Provide subject matter expertise and knowledge of relevant risk trends.
•  Document and risk controls in enhancement of AG’s risk framework throughout the firm and the use of data, analytics, GRC systems and monitoring to enable better risk and reward decisions.  
•  Show commercial acumen, leverage industry benchmarks and best practices. 
•  Evaluate the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls in the context of risk control and mitigation.
•  Support the Head of ERM to communicate results to governance committees, business process owners and various levels of AG leadership, and influence decision making.  
•  Escalate and report critical issues and risks to the appropriate levels of leadership and oversight, including the Risk Committee, Audit Committee of the Board of Managers, and the Board.
•  Facilitate and lead risk assessments and related activities, which includes challenge and influence over critical outcomes.
• Consult with the business on developing corrective action plans and effectively managing change. Monitor issue management, tracking, and closure.

Education Requirements: 

•  Bachelor’s Degree in Business Administration, Finance, Risk Management, or related field required (equivalent education and experience will be considered).  

Basic Requirements: 

•  4+ years of Enterprise Risk Management or equivalent experience.
•  Leadership experience.
•  A thorough understanding of the COSO framework.
•  Experience developing strong working relationships with key senior business, audit, legal, compliance and risk leaders.
•  Ability to articulate issues, risks, and proposed solutions to various levels of staff and management.
•  Ability to ask the right questions and to identify performance trends and the risk levers that warrant a deep dive.

Preferred Requirements: 

• Industry licenses such as FINRA Series 7, 66, and 24.
•  Ability to drive multiple agendas simultaneously to achieve continuous outcomes.
•  Capable of working in a fast-paced environment and managing a high volume of priorities and projects.
•  Demonstrated ability to enhance and implement new processes.

To Apply: 
Apply through the link in the job posting or visit www.careers.advisorgroup.com and search for “Risk”. 

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.