Director, Business Continuity Management and Books &Records Management - Advisor Group

Current Employees and Contractors Apply Here Osaic Careers Risk Management Opportunity in Financial Services Director, Business Continuity Management and Books &Records Management Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339 7755 Third Street North, Oakdale, MN 55128 877 Executive Center Drive West, St. Petersburg, FL 33702 12325 Port Grace Boulevard, La Vista, NE 68128 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 Role Type: Full time. Due to the nature of this position, candidates must be able to work a hybrid schedule. Salary: $105,000 - $175,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education. Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits Summary: The Director of Business Continuity Management (BCM) and Books & Records (B&R) will be responsible for leading the implementation, coordination, and administration of Osaic’s BCM and B&R programs. For BCM, the Director will collaborate with stake holders (IT Risk, IT Architecture, Privacy, Procurement, Compliance, Enterprise Risk, and business leaders) in managing all BCM risks arising from our key third-party vendor relationships. This individual, with support and direction from the Head of Enterprise Risk, will set strategy for enhancing our overall program, develop oversight and governance reporting, help set policy, incident management, collaborate on disaster recovery testing, and lead our internal BCM working group. The Director will report directly to the SVP - Head of Enterprise Risk Management. For B&R, the Director will collaborate with stake holders (IT Architecture, Operations, Compliance, Legal, and Enterprise Risk,) in identifying and documenting all relevant regulatory requirements. In addition, the Head of B&R will establish a framework that ensures Osaic remains in compliance with the relevant regulations, develop oversight and governance reporting, work with Compliance and Legal to set B&R policy, and stay current with any changes to the regulatory environment. It is expected that this individual will have knowledge and/or experience with operational processes, industry trends with utilization of new technologies for automation and control monitoring, and ability to interact with all levels of home office staff. Prior experience in leading or assisting in developing a BCM program and/or BR program is highly desired. Responsibilities: Experience with risk management, planning, exercises, and operations incident management. Strong demonstrated experience developing and maintaining and organization’s business continuity plan to include ongoing engagement with key stakeholders and risk assessments. Understand the concepts for developing and maintaining business continuity plans for an organization’s line of business and the ability to coordinate requirements with plan owners. High proficiency in using Microsoft Office products (e.g. MS Word, Excel, Visio, and PowerPoint) to create documents, briefings, and leadership reports. This role may have leadership responsibilities of one to two direct reports. Communicate the BCM program vision and strategy across the organization. Provide subject matter expertise and knowledge of relevant risk trends. Support the Head of ERM to communicate results to governance committees, business process owners and various levels of Osaic leadership, and influence decision making. Show commercial acumen, leverage industry benchmarks and best practices. Consult with the business on developing corrective action plans to remediate identified issues in the BCM area. Monitor issue management, tracking, and closure. Lead the effort in implementing a world class B&R program that aligns with industry best practices in ensuring Osaic meets its regulatory requirements in this area. Collaborate with key stakeholders on enhancing the organization’s B&R policy with documented record retention schedule and defined process for record destruction. Leverage broad enterprise knowledge, understanding of Osaic’s unique risk profile and/or expert knowledge of core business discipline(s), products, and processes. This role may have leadership responsibilities of one to two direct reports. Communicate the B&R program strategy across the organization. Provide subject matter expertise and knowledge of relevant regulatory requirements. Consult with the business and key stakeholders on developing corrective action plans to remediate identified issues in the B&R space. Education Requirements: Bachelor’s degree in Business Administration, Finance, Accounting, Risk Management, or related field required. Basic Requirements: 4+ years of business continuity management or equivalent experience Experience with developing both discussion and operations-based exercises. Experience developing and conducting Business Process Analyses/Business Impact Analyses. Experience developing strong working relationships with key senior business, Audit, Legal, Compliance and business risk leaders. Ability to articulate issues, risks, and proposed solutions to various levels of staff and management. Ability to ask the right questions and to identify performance trends and the risk levers that warrant a deep dive Preferred Requirements: Industry licenses such as FINRA Series 7, 66, and 24. Ability to drive multiple agendas simultaneously to achieve continuous outcomes. Capable of working in a fast-paced environment and managing a high volume of priorities and projects. Demonstrated ability to enhance and implement new processes. Current Employees and Contractors Apply Here Don't see a job that works for you? Not to worry, you can still introduce yourself to us by clicking on, Get Started.