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Equity Capital Markets Risk Specialist
2 months ago
Hybrid – New York, NY (Manhattan)
4-month Contract (W2), Weekly Pay (40 hours/week)
Calculated Hire is seeking a Business Execution Consultant IV for our Fortune 100 Financial Services company.
The Corporate & Investment Banking (CIB) Control Team is responsible for implementing and managing the First Line of Defense risk program requirements.
This position resides within the Equities Business Control team and supports the broader Equities business that includes Cash Trading, Derivatives Trading, Equity Finance, Equity Advisory, and the FCM.
This role will assist with supporting the Equities Research, Research Sales, and Economics teams, requiring a candidate with an in-depth understanding of Equity products, market practice, operations, technology, and relevant regulations.
As part of the business control team, the role will support business leadership and COO teams to design and implement first-line controls with respect to various regulatory requirements, the company's policies, and industry best practices.
Key responsibilities include:
- Executing risk framework requirements such as the RCSA, 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 a focus on control design and evaluation
- Prior experience with governance frameworks and management reporting of non-financial risk profiles
