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Risk Control Self-Assessment Consultant

2 months ago

Charlotte, North Carolina, United States Apex Systems Full time

Position Overview: RCSA Consultant

Company: Apex Systems

Duration: 12+ months with strong potential for extension or conversion to full-time employment.

Location: Hybrid work model.

Key Qualifications:

  1. Experience in Business Controls: Proven ability to document controls, identify gaps, and collaborate with business stakeholders for remediation.
  2. Comprehensive RCSA Expertise: Demonstrated skill in conducting Risk Control Self-Assessments to identify and mitigate risks effectively.
  3. Background in Investment Banking: Familiarity with capital markets and trading, focusing on risk assessment and control frameworks.
  4. Exceptional Communication Skills: Strong interpersonal abilities with a proactive approach.
  5. Excel Proficiency: Skilled in data integration, index matching, and creating summary reports using pivot tables.
  6. Data Analysis Skills: Experience in handling large datasets, reporting, and visualization.

Preferred Qualifications:

  1. Consulting Experience: Background in risk and control advisory within project or program environments.

Job Responsibilities:

This role is situated within the Chief Operating Office (COO) of the Corporate and Investment Banking (CIB) Markets sector. The primary responsibility is to provide risk management support and execution for the Markets business, focusing on Risk and Control Self-Assessments (RCSA). The consultant will exemplify excellence in executing the RCSA function, ensuring compliance with regulatory commitments while enhancing the control environment by addressing gaps and maintaining accurate documentation.

The consultant will collaborate with key partners, including COO, Control, Independent Risk, and Business Leadership, to support risk transformation initiatives. Responsibilities include creating necessary artifacts for risk and control processes, executing remediation efforts, and drafting rationales and controls.

Specific Duties Include:

  • Assisting business leaders with detailed risk and control evaluations (RCSA), collecting metrics, and maintaining ongoing information.
  • Facilitating RCSA workshops to document business risks and controls.
  • Drafting, revising, and maintaining essential artifacts throughout the RCSA process, ensuring accuracy and attention to detail.
  • Keeping the system of record updated and providing necessary extracts to the broader team.
  • Representing risks, controls, and rationales through thoughtful writing and analysis across similar activities within CIB and/or Enterprise.

Additional Desired Qualifications:

  • Direct experience in developing and executing risk and control assessment programs.
  • Understanding of RCSA processes, including purpose, scope, roles, responsibilities, and deliverables.
  • Strong knowledge of products, services, regulations, and business processes within the Markets sector.
  • Experience in large banking or broker/dealer institutions, with leadership in risk management across global financial institutions.
  • Ability to identify and escalate issues proactively, engaging in constructive challenges independently.
  • Experience in risk process improvement, standardization, and automation of business and control processes.
  • Capability to synthesize data from various sources and deliver concise summaries, both verbally and in writing.