Manager, Risk Management And Complex Issues – Rcs

Chartwell Investment Partners

Hybrid
Risk management frameworks
Policy and procedure development
Regulatory alignment
The Manager, Risk Management and Complex Issues assists in leading risk management efforts for the RIA & Custody Services (RCS) Division by improving frameworks, implementing policies, and drafting procedures

Job Summary

  • The Manager, Risk Management and Complex Issues assists in leading risk management efforts for the RIA & Custody Services (RCS) Division by improving frameworks, implementing policies, and drafting procedures.
  • This role oversees a team, collaborates across departments, ensures regulatory alignment, manages exceptions and reporting, and drives process improvements to strengthen the division’s overall risk posture.
  • The company emphasizes five guiding behaviors: Develop, Collaborate, Decide, Deliver, and Improve, expecting associates to grow professionally, work with others, make prompt choices, take ownership, and contribute to continuous evolution.

Matching Summary

The Manager, Risk Management and Complex Issues assists in leading risk management efforts for the RIA & Custody Services (RCS) Division by improving frameworks, implementing policies, and drafting procedures.

Skills & Requirements

Must-have

  • Risk management frameworks
  • Policy and procedure development
  • Regulatory alignment
  • Customer interaction
  • Process improvement

Nice-to-have

  • Inspire professional growth
  • Client-first focus
  • Integrity and independence
  • Long-term view

Key Requirements

  • Minimum 2 years people leader experience
  • Minimum 5 years financial services experience
  • Bachelor's Degree
  • FINRA Series 7 and 63/66 preferred

Work Rights

Not specified

Tailored Resume

Cover Letter