About this role:
The Wealth and Investment Management (WIM) Business Resiliency Team is hiring a Lead Business Execution Consultant. The WIM Lead Business Execution Consultant role is a critical role to the WIM Recovery & Resolution Planning (RRP) function. As part of the broader resiliency framework, The WIM RRP Team partners with WIM line of business and staff groups to complete, review, and challenge deliverables, as well as, educate senior WIM leaders on plan components and obtain their sign off. The Company has integrated recovery and resolution components into business as usual processes with the service governance mapping serving as the basis for financial cost allocations, risk assessable units, and service level attachments between legal entities. The Legal Entity Coordinator Office (LECO) Role supports legal entity governance activities across WIM.
In this role, you will:

• Partner with WIM lines of business, staff groups and senior leaders to meet regulatory deliverables directed by the Enterprise Legal Entity Office (LEO)
• Serve as WIM lead for Enterprise LEO to assist with all aspects of WIM's requirements
• Partner with WIM lines of business to ensure that the population of WIM legal entities is governed per the requirements of the Legal Entity Office
• Manage legal entity events associated with the initiation, change, and disposition of legal entities
• Ensure that the legal entity structure is in compliance with the Legal Entity Criteria and supports a rapid and orderly resolution in the event of a material financial distress or failure
• Provide centralized forums, processes, communications, and controls, as appropriate, to support adherence to the Legal Entity Policy.
• Complete all deliverables required by the Legal Entity Office (LEO) including the Legal Entity Rationalization (LER) and Justification Assessments, LER waiver attestations, and Legal Entity Acknowledgements
• Support and validate periodic legal entity justification assessments and support completion of event-driven legal entity rationalization assessments, as needed
• Monitor and track Legal Entity Information Form (LEIF) submission compliance by adhering to the Legal Entity Policy Oversight & Monitoring Procedures
• Support and act as an escalation point for all legal entity related activities in WIM
• Facilitate the legal entity change process
• Support quarterly acknowledgments from the legal entity responsible officer
• Consult on legal entity risk identification and assessment as needed
• Confirm that legal entities have the appropriate persons identified to fill legal entity governance roles
• Represent WIM in all legal entity forums (i.e. Legal Entity Governance Office and Legal Entity Governance Council meetings)
• Own legal entity controls
• Serve as back-up for Service Governance and Recovery and Resolution Planning (RRP) role
• Partner with LECOs in other Core Business Lines to share best practices in support of legal entity, service governance, and RRP deliverables
• Provide the required documentation for the Self-Assurance Activity process

Required Qualifications:

• 5 years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 5 years Recovery & Resolution Planning, Legal Entity, or other related risk experience
• Financial Services industry experience, preferably in Wealth & Investment Management
• Experience developing, implementing, monitoring, and enhancing Resiliency and LEO programs and polices
• Ability to influence without direct authority, create and manage (while achieving results) large-scale change and influence people at all levels of the organization
• Ability to communicate powerfully and prolifically to senior leaders and simplify the complex
• Demonstrated ability to execute effectively in a matrixed organization, develop partnerships with many business and functional areas
• Demonstrated ability to build and maintain strong credible relationships with key stakeholder groups including executive management, regulatory examiners and internal auditors
• Master's Degree in a Business or related field
• Must be flexible, resilient and optimistic in their approach to work bringing a creative way to solve problems

Job Expectations:

• This position offers a hybrid work schedule in one of the listed job locations
• This position is not eligible for Visa sponsorship

Job Description - Additional Language
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
Posting End Date:
29 Apr 2024
*Job posting may come down early due to volume of applicants.
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