Equity Research Control Specialist

3 days ago


Charlotte, North Carolina, United States Pinnacle Group, Inc. Full time

Job Title: Equity Research Control Specialist

Job Summary:

We are seeking an experienced Equity Research Control Specialist to join our team at Pinnacle Group, Inc. The successful candidate will be responsible for designing and implementing first-line controls with respect to regulatory requirements, client policies, and industry best practices.

Key Responsibilities:

  • Execute risk framework requirements such as the RCSA, creation and alignment of metrics
  • Establish governance for open and upcoming items across all risk inventories and programs
  • Collaborate with Line of Business (LOB) partners on control design, implementation, and monitoring
  • Ensure the LOB profile of applicable regulations and associated controls is maintained and monitored
  • Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams
  • Establish the inventory of all relevant business processes, governance channels, internal testing, audit, and regulatory engagements is maintained
  • Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls
  • Participate in business growth initiatives and maintain awareness of platform changes
  • Awareness and involvement in regulatory change control, and alignment of related controls

Requirements:

  • 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

Desired Qualifications:

  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills
  • Ability to work in a fast-paced environment and prioritize multiple tasks
  • Strong attention to detail and organizational skills


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