Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management

Support governance, risk, and control routines to ensure controls are designed, documented, and operating effectively to mitigate operational, financial, regulatory, and compliance risk. Prepare and maintain regulatory reporting, control documentation, reporting dashboards, general ledger reconciliations, and related reporting processes. Coordinate governance routines and committee materials, including product, business review, risk, conflicts, and Regulation Best Interest governance forums. Support key governance processes, including risk program meetings, regulatory budget requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment activities, testing coordination, and annual risk assessments. Maintain policy, procedure, and supervisory control governance routines, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, outside business activity tracking, business continuity planning, and self-monitoring routines. Coordinate internal and external audit requests, regulatory affairs responses, vendor risk activities, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance. Partner with business stakeholders, Internal Audit, Compliance, Legal, and other risk partners to support issue resolution and risk-informed decision making. Identify control gaps and process improvement opportunities, assess potential risk exposure, and help implement practical remediation plans. Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions.