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Risk Control Self-Assessment Consultant

2 months ago

Charlotte, North Carolina, United States Apex Systems Full time

RCSA Consultant

Company: Apex Systems

Duration: 12+ months - 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 proficiency in conducting thorough Risk Control Self-Assessments to identify and mitigate risks.
  3. Background in Investment Banking: Experience in capital markets and trading with a focus on risk assessment and control frameworks.
  4. Excellent Communication Skills: Strong interpersonal skills and a proactive approach.
  5. Excel Proficiency: Skills in data integration, index matching, and creating pivot tables for reporting.
  6. Data Analysis Skills: Experience in working with large datasets, reporting, and visualization.

Preferred Qualifications:

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

Job Overview:

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

The consultant will take on responsibilities supporting risk transformation initiatives and will collaborate with key partners, including COO, Control, Independent Risk, and Business Leadership. Responsibilities encompass creating artifacts in line with risk and control processes, executing remediation efforts, and drafting rationales and controls.

Specific Responsibilities Include:

  • Assist business leaders in executing detailed risk and control evaluations (RCSA), collecting metrics, and maintaining ongoing information.
  • Facilitate RCSA workshops to document business risks and controls.
  • Draft, revise, and maintain key artifacts during RCSA execution, ensuring attention to detail and accuracy.
  • Keep the system of record updated, reflecting the most current information and providing necessary extracts to the broader team.
  • Represent risks, controls, and rationales accurately through thoughtful writing and analysis across similar activities in CIB and/or Enterprise.

Additional Desired Qualifications:

  • Direct experience in developing and executing risk and control assessment programs.
  • Understanding of RCSA target state, processes, purposes, scopes, roles, responsibilities, and deliverables.
  • Strong knowledge of products, services, regulations, policies, and business processes in the Markets sector.
  • Experience in large and complex banking or broker/dealer institutions, with risk management leadership in global financial institutions.
  • Ability to raise issues confidently, escalate concerns early, and engage in constructive challenge independently.
  • Experience in risk process improvement, standardization, automation of business and control processes, and quality assurance.
  • Knowledge of risk management practices and applicable systems.
  • Ability to synthesize data from various sources, deliver concise summaries, and respond swiftly.