Reporting into the President of Institutional Services, the Head of Risk Oversight and Controls is responsible for defining, implementing, and leading the overall risk management programs supporting the entire Institutional (Registered Independent Advisors) and Clearing (Brokerage Operations) divisions. This individual directly interacts with and supports 7 functional Managing Directors within Institutional and Brokerage Operations, as well as multiple MD’s and Directors throughout Enterprise Risk, Compliance, Audit, and Legal areas.
This is a strategic role not only responsible for assessing and mitigating risk but more importantly establishing areas where risk thresholds are limiting opportunities.
The role must strategically build effective programs and requirements that support the high level goals of the broader business and meet the risk threshold of the firm, as well as the business units’ objectives. The programs under direct leadership of this role include the primary areas of Advisor and Credit Risk, Operational, Supervisory, Vendor, Business Contingency (BCP), Product, and Project risk.Responsibilities:
This role is responsible for building and maintaining business partnerships with corporate functions such as Legal, Compliance, Audit, and the Enterprise Risk group in order to better support business priorities and develop appropriate risk programs and requirements.
Provide focused business lines within the Institutional Risk department that can proactively and effectively mitigate the key risks, as well as quickly respond to demands of the business and changes within the regulatory environment.
Lead strategic development of programs that address the key risks of a broker dealer and custodian in the industry and drive strategic risk awareness and education (internal and external).
The key areas of focus include but are not limited to;
In addition, this role is client facing and interacts directly with Advisors through escalations, as well as through conferences and business events. This role is very unique in that it is positioned as a “thought leader” in the area of Risk Management on behalf of TD Ameritrade. A key expectation of the role is to represent TD Ameritrade by presenting at various events, including conferences, client panel sessions, interviews with industry experts and webinars.Requirements:
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