Supervisor, Financial Institution Svcs - Risk Mgmt

Job Description: Primary Purpose of the Position: The FIS Risk Management Supervisor provides first-line supervision of 8-10 associates and of daily risk management responsibilities related to financial intermediary clients to ensure compliance with company and SEC/NASD policies. Risk management responsibilities include, but are not limited to excessive trade monitoring, redemption fee compliance, selling/trading agreement adherence, systems enhancements, and process improvements. The team is also responsible for servicing the needs of clients that utilize the National Securities Clearing Corporation (NSCC) trading services.

Principal Responsibilities:

* Supervises, develops, and coaches FIS associates in order to meet department standards, enhance skill sets, and retain associates:
* Assists in recruitment and interviewing of new hire associates
* Defines clear and attainable objectives along with measures used for each associate
* Provides ongoing feedback, coaching and evaluations to associates
* Acts as an immediate resource for associate questions
* Manages day to day operations, such as handling workflow items to ensure accurate and timely completion

* Ensures compliance with company and industry policies. For example, he/she reviews large trades to confirm that they have been processed accurately and that proper documentation is in place to ensure that customer request is fulfilled and to minimize financial and legal risk to the organization. He/she reviews excessive trading monitor results and conducts client conference calls or visits to review results.

* Identifies opportunities and then leads business projects to enhance workflow, systems, or policy and procedure to increase department quality, productivity, or efficiencies.

* Works with marketing counterparts (TPD, GIS, RPSIO) to address high risk clients. Participates in discussions (either in committee or individual basis) with these key internal stakeholders regarding regulatory or compliance issues with their respective client base.

* Other duties as assigned


Qualifications:

* Bachelor's Degree preferred
* 3-5 years in TRP Operations preferred
* Previous experience servicing intermediaries and/or institutional business (Broker/Dealer Servicing) preferred
* Series 6 - within 90 days preferred
* Series 63 - within a 180 days preferred
* Good leadership capabilities
* Strong customer service skills
* Confident and positive attitude
* Excellent verbal and written communication skills
* Strong analytical and decision making skills
* Strong PC skills
* Willing to travel
* Relationship management skills
* College degree with one year of related work experience, OR a minimum of 3 years related work experience required

T. Rowe Price is an Equal Opportunity Employer.

Searchable Keywords: SEC, NASD, risk management, trade, NSCC, broker, dealer / gj-mo

Expected Travel Time: None

This company may offer relocation assistance.