The Risk Manager – Investment Advisory partners with stakeholders in the Wealth Management Advice & Solutions (WMAS) division to manage the risks associated with the Investment Advisory program. Effectively controls the risks associated with business activities via the execution of firm's Enterprise Risk Management framework for identifying, assessing, treating, mitigating, monitoring, reporting and escalating risks.
 Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements.  Primary focus includes issue management, incident management, critical business process mapping/inventorying and risk assessment support.Understands division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards. Identifies inconsistencies with ERM Risk Management Program or internal standards. Stays informed on risk industry and educational/development opportunities. Executes risk management procedural requirements for open high risks including root cause analysis, action plan development, evidence, and remediation documentation including supporting business risk owners. Uses GRC to document risk issues and assessment data.Provides insights to leadership for potential consideration in risk forums. Escalates emerging risk concerns and provides early warning on key risks to divisional leadership.  Executes training and assists divisional associates in understanding the Enterprise Risk Management Program.