Operational Risk Associate
3 weeks ago
Currently partnered with a growing broker dealer that is seeking a strong
Operational Risk Associate
to join their team in NYC or Chicago. The ideal candidate will be implementing robust risk management practices to monitor and mitigate potential threats to maintain the overall financial stability of the company.
Responsibilities
Lead Risk and Control Self-Assessments (RCSAs) while fostering continuous improvement across the region
Conduct control testing and collaborate with stakeholders to address control gaps and facilitate remediation efforts
Monitor and report on risk events and operational losses, documenting new controls, conducting operational risk impact assessments, and escalating to management as needed
Assist in the rollout of individual components of the Operational Risk Management Framework
Produce and maintain reporting on risk appetite metrics and Key Risk Indicators (KRIs) to offer strategic insights into operational risk
Ensure compliance with regulatory requirements under SEC, Client, NFA, CFTC, and other applicable exchanges
Escalate risk events immediately
Skills And Experience
3-5+ years of cumulative experience in operational risk, compliance, or internal control roles in Financial Services
Current or previous experience at a broker dealer
Proficiency in MS Office tools (Excel, Access, Word, PowerPoint) with the ability to streamline data and standardize risk reporting
GRC and PowerBI tools preferable
If interested don't wait to apply
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