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Risk and Controls Consultant

2 months ago

Charlotte, United States Apex Systems Full time

Large Bank

Charlotte, NC - uptown onsite 3 days a week and remote 2 days a week

Rate: Charlotte $45-60 an hour pay


This position is within the Capital Markets Chief Operating Office (COO) organization and will be responsible for providing risk management support and execution to the Markets business. The position will primarily focus on direct support of the Risk and Control Self Assessments (RCSA) across the CIB Markets business. The individual should demonstrate “brilliance in the basics” in the execution of the RCSA function to meet regulatory commitments on time and with sustainable quality, while measurably improving the Wells Fargo control environment through addressing control gaps, creating control documentation and maintaining the accuracy of the RCSA.


This role will be expected to take on accountabilities in support of the risk transformation initiatives and will operate as a part of a facilitation team interacting with key partners such as COO, Control, Independent Risk, and Business Leadership. Other responsibilities include, but are not limited to, creating artifacts per risk and control process requirements, executing on remediation efforts, and writing rationales and/or controls.


Specific Responsibilities Include:

• Support the business leaders through execution of detailed risk and control evaluations (RCSA), collection of metrics and supporting observations, and maintaining the information on an ongoing basis.

• Support RCSA workshops and related efforts to collect and document business risk and controls.

• Responsible for drafting, revising, and maintaining key artifacts through RCSA execution requiring attention to detail and accuracy.

• Ensure the system of record through RCSA execution is up to date and reflects the most current information, providing extracts, as needed, to the broader team.

• Accurately represent risks, controls, and associated rationales through thoughtful writing and analysis across similar activities in CIB and/or Enterprise.


Other Desired Qualifications:

• Front line direct experience with developing and/or executing risk and control assessment programs.

• Knowledge of target state RCSA, process, purpose, scope, the roles and responsibilities roles, accountabilities and deliverables.

• Strong knowledge of products, services, applicable regulations and policies, business processes, and systems in the Markets business for such desks as Rates, Structured Products, Credit, FX, etc.

• Experience in large and complex banking or broker/dealer institutions, risk management leadership experience in multi-jurisdictional global financial institution.

• Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently.

• Prior experience in risk process improvement, standardization and automation of business and control processes, quality assurance and control routines, and risk and control metrics and reporting.

• Ability to synthesize data and observations from a variety of sources, deliver succinct summaries (both verbal and written), and enact response quickly.


Top requirements:

  1. Business controls—demonstrated experience in documenting controls, identifying controls, and remediating gaps by collaborating directly with business stakeholders.
  2. End-to-end RCSA—proven expertise in conducting thorough Risk Control Self-Assessment to identify and mitigate potential risks.
  3. Investment banking/capital markets with a focus on risk assessment and control frameworks.
  4. Strong communication skills and a go-getter personality.
  5. Proficiency in Excel.