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Co-head of Operational Risk
4 months ago
Neuberger Berman is an independent, employee-owned, global asset management firm, serving the financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and commodities, in addition to portfolio advice and wealth planning services. We offer a broad platform to accommodate the evolving needs of our clients.
Co-Head of the Operational Risk Group in the New York office of a U.S. headquartered asset management firm, which also has additional investment management and business development permissions across EMEA and Asia.
This individual will serve as 1) a key leader and liaison across local and global business functions on Operational Risk matters and 2) a key person responsible for the execution of the operational / enterprise risk and resilience frameworks in accordance with best practice guidance and regulatory requirements. The role will also include the identification / management of operational risks and issues, as well as the development of solutions and re-engineering of processes to avoid future control / process weaknesses. This hands-on position requires the ability to challenge and coordinate front-to-back business management, as well as collaboration with risk and support and control colleagues across the global firm. The role will require regular board, client, committee and senior leadership engagement and at times will be required to articulate questions and answers with regulatory authorities.
**Responsibilities**:
- Partner with Co-Head of the Operational Risk Group to promote a strong risk culture, while overseeing all functional elements of the Operational Risk Group, including staffing, hiring, coaching and performance reviews, and compensation.- Manage the strategic direction of the team (in partnership with Co-Head), developing, tracking and reporting key metrics, and planning to support growth and evolving business needs.- Interact and coordinate with senior leadership across broad functional areas, including Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, and Client Service as it relates to Operational Risk matters.- Ongoing management, maintenance and embedding of the operational risk framework, covering all new and existing product strategies and related governance processes.- Stay abreast of best practices and regulatory requirements in Operational Risk and support benchmarking of the Operational Risk program to drive priorities, and to identify continual enhancements.- Challenge the business as to the appropriateness, effectiveness and completeness of its internal controls, risk mitigation plans and related progress.- Act as “player-coach” while identifying and investigating operational risk events, ensuring root cause analysis and control assessments are undertaken. This will involve undertaking ‘deep dive’ reviews on significant and complex events to provide ongoing recommendations to enhance the control environment.- Serve as a guiding hand, leader and trusted advisor to business partners while helping to resolve operational events and navigating business continuity issues.- Identify process/control weaknesses and raise issues and associated actions, where required. This will involve notifying responsible owners and providing enough oversight to ensure the issue is managed to completion.- Oversee and drive programming related to annual risk and control self-assessments across the business.
Understanding of and the ability to implement and manage the following Operational Risk and resilience processes across the firm:
- Third Party Risk Management- IT and Cyber Risk Management- Counterparty Risk Management- Business Impact Analysis and Business Continuity Planning
Qualifications:
- College degree is required- Demonstrative experience in an asset / investment management firm within a operational risk or internal audit team (10 years minimum)- Strong leadership, management, and coaching skills; ability thrive in a dynamic and fast-paced environment- Deep understanding of 40 Act Mutual Fund and UCITS platforms; knowledge of Private Wealth / High Net Worth management.- Solid understanding the investment trade life cycle process- Understanding of Equity, Fixed Income and Alternative Investment products and supporting processes, associated operational risks, best practice standards, related rules and regulations- Excellent analytical, critical thinking and problem-solving skills- Team player, flexible, ability to work with a variety of personalities- Executive level communicator with the ability to communicate effectively across all functions and seniority levels; experience preparing and delivering presentations to executive management
Compensation Details
The salary range for this role is $200,000-$215,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this
