Risk Mitigation Director Resume Example
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RISK MITIGATION DIRECTOR
Professional Summary
Transformative leader with over 15 years of financial industry experience skilled in the areas of risk management and securities compliance. Proven ability to build relationships with key stakeholders to support and foster a compliant and risk-minded culture. Expertise in overseeing the creation of risk and compliance policies and procedures, risk assessment, and remediation of risk exposure for USAA Investment Management (IMCO) and Life Insurance (LIFECO) companies.
Key Accomplishments
- Sphere of influence contributed to LIFECO meeting Manager Identified Issue (MII) risk metric goal of 70% for 1LOD in 2020
- Coordinated development of Key Risk Indicator (KRI) program for LIFECO in 2021 (Risks: Principal = 5, Tier 1 = 10, Tier 2 = 19; KRI's = 21)
- Identified operational risk related to gap in documentation resources that impacted over 400 Financial Advisors. Remediated by identifying and implementing solution with available technology
- Managed complex transition of 34 compliance resources from internet based infrastructure to a 17A4 compliant repository
- Supervised the establishment of 7 desktop procedures that outlined the ongoing monitoring, governance, and control testing of the disclosure environment for both IMCO & LIFECO
Relevant Work History
Risk Mitigation Director, 07/2015 to CurrentUSAA National Supervision & Controls - City , STATE
- Collaborates with 1LOD executive leadership, 2LOD partners, and legal to develop, maintain, and update policies and procedures to mitigate operational and compliance risks within a 3LOD system
- Team ensures 1st line of defense is progressing through the issue management process and meeting Enterprise risk metric goals
- Evaluates risk management program on behalf of USAA Financial Planning & Advice (FP&A) and LIFECO
- Provides actionable advice to 1LOD executive leadership on risk trends and program results to effectively meet Enterprise priorities.
- Coordinated the maintenance and process improvements of a portion of IMCO supervisory procedures
- Was accountable for risk management oversight of multiple business segments (mutual fund, brokerage, managed account, life, annuity)
- Oversaw examination responses on issues identified by regulators, compliance, and audit (MRA's, MRIA's)
Mass Affluent Manager, 07/2011 to 07/2015USAA Investment Management Company - City , STATE
- Led a tenured team of 12 Wealth Advisors to be recognized as the top performing team in 2012 and 2014 (out of 19 teams)
- Successfully promoted 5 advisors into Wealth Management and 2 into leadership roles
- Functioned as the Mass Affluent segment's compliance and risk SME
- Assisted in the annual Risk Control Self Assessment (RCSA) refresh
- Conducted supervision requirements as outlined in the WSP's
- Fulfilled the responsibilities of a securities principal
Mass Market Manager, 08/2010 to 07/2011USAA Investment Management Company - City , STATE
- Led a high performing team of 14 Financial Advisors responsible for helping members through insightful and actionable advice
- Successfully promoted 2 advisors into Mass Affluent, 1 into Wealth Management and 1 into leadership roles
- Team was recognized as top performing in 1st and 2nd qtr 2011 (out of 15 teams)
- Conducted supervision requirements as outlined in the WSP's
- Fulfilled the responsibilities of a securities principal
Sr. Wealth Management Relationship Manager, 03/2008 to 08/2010USAA Investment Management Company - City , STATE
- Managed relationship of 120 HNW members with ~$248mil in AUM/AUC
- Maintained top 5 retention rate during entire tenure
- Served as a peer leader teammates could leverage and consult with on difficult issues or problems
- Helped teammates with skill development
- Conducted supervision requirements as outlined in the WSP's
- Fulfilled the responsibilities of a securities principal
Links
- linkedin.com/in/jasonjrrobinson
Skills
- Risk Management
- Securities Compliance
- Senior Leader
- Board Deliverables
- Policy & Procedure Development
- Issue Management
- Operational Controls
- Branch Examinations
- Regulator Exam Response Experience
- Supervision & Surveillance
- Sales Practice Oversight
- Risk Assessments (RCSA)
- ORM Standards
- KRI Program Development
- FINRA 3110, 3120, 3130
- SEC Acts of 1940
- MetricStream/Tableau/Salesforce
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
- FINRA Certified Regulatory & Compliance Professional® candidate
- CERTIFIED FINANCIAL PLANNER™
- Certified Wealth Strategist®
- Chartered Retirement Planning Counselor℠
- Accredited Asset Management Specialist℠
- AZ group 1 life & health insurance licenses
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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