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Risk & Control Analyst

2 months ago

Minneapolis, Minnesota, United States RBC Capital Markets, LLC Full time

Job Summary


Job Description


What is the opportunity?

You will support the execution of key controls and risk management processes in US Wealth Management Operations. You will act as a subject matter expert on operational risk & controls, supporting incident reporting, coordinating internal and external audit engagements, and providing risk and control-related advice and counsel to various internal stakeholders and partners.

What will you do?

  • Plan and facilitate SOC1 and SOX control package reviews across US WM Operations, including evidence gathering, process mapping, control testing, design reviews, and inventory updates
  • Support and oversee the completion of regulatory and compliance incident reporting, including operational risk events, self-identified Issues, and reportable compliance issues
  • Collaborate with regulatory, compliance and other risk partners to design, implement, and document new controls and improve existing controls for both process efficiency and effective risk management
  • Support client remediation efforts by completing root cause analyses of control failures and providing recommendations on new controls or control improvements
  • Act as liaison between various stakeholders and partners in US WM Operations and internal and external auditors to ensure smooth and efficient audit engagements
  • Contribute to the continuous improvement of the risk and controls environment in US WM Operations through opportunity spotting and collaborating with partners on implementing regulatory, risk, or compliance initiatives

What do you need to succeed?

Must-have

  • 4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 3+ years of securities, banking, technology and/or job specific industry experience
  • 3+ years' experience in the financial services industry, with direct experience in risk management, risk and control or financial/IT audits
  • FINRA securities license 99 (or able to obtain license within 120 days)
  • Critical thinking and ability to collaborate effectively with internal and external stakeholders, including auditors
  • Professional oral and written communication skills, including the ability to summarize and simplify complex concepts

Nice-to-have

  • Experience and knowledge of broker-dealer operations
  • Knowledge of SEC and FINRA regulations
  • Experience with reporting Operational Risk Events, Self Identified Issues, or Reportable Compliance Issues
  • Experience reviewing SOC1 reports and SOX control packages

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Flexible work/life balance options
  • Opportunities to do challenging work
  • Opportunities to take on progressively greater accountabilities
  • Access to a variety of job opportunities across business

Job Skills

Active Learning, Adaptability, Business Appraisals, Critical Thinking, Customer Service, Decision Making, Effectiveness Measurement, Operational Delivery, Process Improvements

Additional Job Details

Address:


250 NICOLLET MALL:MINNEAPOLIS

City:


Minneapolis

Country:


United States of America

Work hours/week:


40

Employment Type:


Full time

Platform:


Wealth Management

Job Type:


Regular

Pay Type:


Salaried

Posted Date:



Application Deadline:



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