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Risk Mitigation Director Resume Example

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RISK MITIGATION DIRECTOR
Professional Summary

Multi-talented, high-performing leader with over 15 years of financial industry experience skilled in the areas of securities compliance and risk mitigation. Proven ability to build relationships with key stakeholders to support and foster a compliant and risk-minded culture. Expertise in overseeing the creation of compliance policies and procedures, risk and compliance assessments, and remediation of risk exposure.

Accomplishments
  • Identified operational risk related to gap in documentation resources that impacted over 400 Financial Advisors. Remediated by identifying and implementing solution with available technology
  • Accomplished complex transition of dozens of compliance resources from word based infrastructure to a 17A4 compliant repository
  • Oversaw the establishment of desktop procedures that outlined the ongoing governance and control testing of the disclosure environment for both the Investment Management and Life Insurance companies
  • Established, documented, and mapped residual processes of firm in relation to $850mil sale of Mutual Fund and 529 business to strategic partner
Relevant Work History
Risk Mitigation Director, 07/2015 to CurrentCompany Name - City, State
  • Team identifies and evaluates risk mitigation solutions on behalf of Financial Planning and Advice/Investment Management Company as part of the organization's 1st line-of-defense
  • Conducts branch examinations throughout the country
  • Accountable for the oversight and risk management of multiple business segments (mutual fund, brokerage, managed account, life, annuity)
  • Responsible for the monitoring and maintenance of over 87 Written Supervisory Procedures (WSP's)
  • Creates new WSP's stemming from FINRA and/or SEC exams
  • Partners with senior leaders to address Manager Identified Issues
  • Leads projects with a compliance and risk focus including identification, evaluation and mitigation of issues
  • Oversees examination responses on issues identified by Regulators, Compliance, and Audit
  • Develops and delivers business wide compliance/risk communications
Mass Affluent Manager, 07/2011 to 07/2015Company Name - City, State
  • Led a team of tenured Financial Advisors responsible for positioning needs based mutual fund, brokerage, managed account, annuity, life insurance, and banking solutions to members with over $250k in invest able assets
  • Team routinely recognized for top AUM growth while maintaining high compliance standards
  • Functioned as the Mass Affluent segment compliance and risk SME
  • Assisted in the annual RCSA risk refresh process
  • Conducted supervision requirements as outlined in the WSP's
  • Developed employees through regular coaching and feedback that led to improved and sustained results and multiple leadership and Wealth Management promotions
  • Maintained compliance with policies, procedures, and regulations
  • Fulfilled the responsibilities of a securities principal
Mass Market Manager, 08/2010 to 07/2011Company Name - City, State
  • Led a team of Financial Advisors responsible for positioning needs based mutual fund, brokerage, managed account, annuity, life insurance, and banking solutions to members early in their financial lives
  • Received leadership awards for having the top performing team
  • Provided consistent coaching and feedback that lead to sound business results while maintaining low employee turnover
  • Successfully led team through multiple change management initiatives
  • Conducted supervision requirements as outlined in the WSP's
  • Fulfilled the responsibilities of a securities principal
Sr. Wealth Management Relationship Manager, 03/2008 to 08/2010Company Name - City, State
  • Owned assigned relationship of 120 high-net-worth members with $248mil in AUM/AUC and ensured the comprehensive delivery of USAA's Wealth Management program
  • Applied expert knowledge of investment, annuity, life insurance, and banking solutions
  • Responsible for implementing complex estate planning strategies
  • Conducted supervision requirements as outlined in the WSP's in an Assistant Manager capacity
  • Served as a peer leader team members could leverage and consult with on difficult issues or problems
  • Helped guide team members in career path development
  • Fulfilled the responsibilities of a securities principal
  • linkedin.com/in/jasonjrrobinson
Skills
  • Senior Leadership
  • Securities Compliance
  • Risk Mitigation
  • Branch Examinations
  • Regulator Exam Experience
  • Supervision & Surveillance
  • FINRA & SEC Laws & Regs
  • FINRA 3110, 3120, 3130
  • SEC Investment Adviser Act of 1940
  • SEC Investment Company Act of 1940
  • ERM Strategy Development
  • Operational Controls
  • Control Testing
  • Risk Assessments
  • Governance Oversight
  • ORM Standards
  • Metricstream/Salesforce/Tableau
Education
Master of Business Administration
University of Arizona - Eller College of Management - City, State
  • Executive MBA program
Bachelor of Arts, Interdisciplinary Studies - Concentrations: Business & History
Arizona State University - City, State
  • Graduated with honors - Summa Cum Laude
Certifications
  • FINRA Series 24, 51, 7, 65, 63 licenses
  • FINRA arbitrator
  • AZ group 1 life and health insurance licenses
  • CERTIFIED FINANCIAL PLANNER™
  • Certified Wealth Strategist®
  • Chartered Retirement Planning Counselor℠
  • Accredited Asset Management Specialist℠
Volunteerism

San Antonio Food Bank

  • May 2019

The Unicorn Center

  • Aug 2018; Jun 2017

HonorHealth Desert Mission Food Bank

  • Aug 2015; May 2014

Homeward Bound AZ

  • Apr 2013
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Resume Overview

School Attended

  • University of Arizona - Eller College of Management
  • Arizona State University

Job Titles Held:

  • Risk Mitigation Director
  • Mass Affluent Manager
  • Mass Market Manager
  • Sr. Wealth Management Relationship Manager

Degrees

  • Master of Business Administration
    Bachelor of Arts , Interdisciplinary Studies - Concentrations: Business & History

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