Equity Capital Market Analyst

2 weeks ago

New York, New York, United States Calculated Hire Full time
Capital Markets Risk and Controls Specialist

Calculated Hire is seeking a highly skilled Capital Markets Risk and Controls Specialist to join our team. As a key member of our Corporate & Investment Banking (CIB) Control Team, you will be responsible for implementing and managing the First Line of Defense risk program requirements.

This role will support the broader Equities business, including Cash Trading, Derivatives Trading, Equity Finance, Equity Advisory, and the FCM. You will work closely with the Equities Research, Research Sales, and Economics teams to design and implement first-line controls in accordance with regulatory requirements, company policies, and industry best practices.

Key responsibilities include:

  • Executing risk framework requirements, such as the RCSA, and creating and aligning metrics
  • Establishing governance for open and upcoming items across all risk inventories and programs
  • Collaborating with Line of Business (LOB) partners on control design, implementation, and monitoring
  • Ensuring the LOB profile of applicable regulations and associated controls is maintained and monitored
  • Establishing the inventory of all relevant business processes, governance channels, internal testing, audit, and regulatory engagements
  • Conducting risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls
  • Participating in business growth initiatives and maintaining awareness of platform changes
  • Awareness and involvement in regulatory change control and alignment of related controls

Desired qualifications include:

  • Direct experience with Equity Research and related control frameworks
  • Demonstrated understanding of rules and regulations applicable to the Equity Research business
  • Experience with operational risk framework, the RCSA, and related control programs
  • Prior experience in a business control or compliance role with focus on control design and evaluation
  • Prior experience with governance frameworks and management reporting of non-financial risk profiles

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