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Associate, Business Unit Risk (Phoenix/Dallas/Denver/San Diego)



This job is no longer accepting applications

See open jobs at Inclusively.
Lone Tree, CO, USA
Posted on Sunday, February 11, 2024

Inclusively is partnering with a financial services company to hire an Associate, Business Unit Risk (Phoenix/Dallas/Denver/San Diego). **Please note: this role is NOT an internal position with Inclusively but with the partner company.**


Inclusively is a digital tech platform that connects candidates with disabilities, who may benefit from workplace accommodations, to inclusive employers. This includes all disabilities under the ADA, including mental health conditions (e.g. anxiety, depression, PTSD), chronic illnesses (e.g. diabetes, Long COVID), and neurodivergence (e.g. autism, ADHD). Applicants with one or more of these conditions are encouraged to apply; Inclusively does not require applicants to disclose their specific disability.

Your Opportunity:

The Advisor Risk Specialist will focus on conducting due diligence reviews for RIAs and investment advisors that custody business with us. The due diligence reviews include reviewing our company forms/agreements and disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business divisions to research and resolve raised cases, and providing decision support for the AS Advisor Risk team while balancing risk and firm reputation. This role will support the most complex due diligence responsibilities.

What you’ll do:

  • Assist in the growth of our business by supporting internal and external customers
  • Conduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business divisions
  • Base business decisions on a sound analysis of risk
  • Understand risk and be able to develop proper mitigation when appropriate
  • Encourage appropriate escalation and resolution of risk issues
  • Act in the best interest of customers, company, and shareholders.
  • Partner with internal departments such to evaluate risk and provide guidance to internal partners on complex situations
  • Participate in special projects and performs other duties as assigned
  • Exemplify the vision and values of our company

What you have:

  • Bachelor’s degree or equivalent experience
  • 1-2 years of financial services industry experience (brokerage preferred)
  • Thorough understanding and knowledge of the RIA industry as well as policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT)
  • Strong attention to detail, research, analytical, and critical-thinking skills
  • Ability to build relationships using respect, competence and confidence and establish trust with internal departments effectively
  • Ability to communicate at all levels with clarity and precision, both written and verbally
  • Proficiency with Microsoft suite of applications (Word, Excel, PowerPoint, Outlook, and Teams)
  • Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
  • Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines
  • FINRA Series 7 preferred but not required

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

This job is no longer accepting applications

See open jobs at Inclusively.