Operational Risk Management Specialist

3 weeks ago

Greenwich, Connecticut, United States Interactive Brokers Full time
About Interactive Brokers

This is a hybrid role that combines three days in the office with two days of remote work. Interactive Brokers Group has been at the forefront of trading innovation for over four decades, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being a technology-driven company that challenges the status quo. Our goal is to offer clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

As part of our expanding Enterprise Risk Management organization, Interactive Brokers is seeking to recruit an Operational Risk Analyst for IBL (based in Greenwich). The role will support the execution of the operational risk management framework in the US and, as required, for Group affiliates. The responsibilities include executing the Risk & Control Self-Assessment, Event Analysis and Remediation, developing and monitoring Key Risk Indicators (KRIs), Scenario Analysis and monitoring the firm's operational risk profile against its risk appetite.

Responsibilities
  • Support the Enterprise Risk Manager in executing all aspects of the Operational Risk Management Framework across all Group entities.
  • Partner with business risk owners to execute the RCSA program, ensuring results are documented appropriately, actionable and defensible to third-party review.
  • Conduct targeted risk assessments on areas of highest residual risk to identify opportunities for control enhancement and risk mitigation.
  • Conduct the operational risk assessment for new third-party vendors, assess SOC1 reports and provide ongoing monitoring and support to business owners of vendor relationships as required.
  • Map operational processes in complex parts of the business, overlay controls and work with process owners to identify enhancements and efficiencies.
  • Participate in firmwide projects to identify, assess and manage operational risks related to delivering the IBKR business model.
  • Build and monitor Key Risk Indicators, escalating changes to the risk profile to risk owners, including breaches of risk appetite limits, and identifying remedial strategies to bring exposures within tolerance.
  • Conduct root cause analysis on events/incidents and agree on control enhancements with process owners.
  • Analyze the operating model - risks and controls - at the request of the Enterprise Risk Manager or the Chief Risk Officer.
  • Support the Enterprise Risk Manager with building out committee reporting to inform and enhance management's decision-making.
  • Execute ad-hoc activities for the Enterprise Risk Manager, including but not limited to maintaining associated data for reporting and assisting with managing the Enterprise Risk Management site.
Qualifications
  • 4+ years in Operational Risk or related function (first-line control, audit) in financial services.
  • Working knowledge of operational risk management frameworks and practical experience executing risk and control assessments.
  • Knowledge of OR industry best practices and regulatory standards - forward-thinking approach to the application of risk standards.
  • Highly diligent, results-driven, hardworking and able to execute risk assessments to a high degree of quality. Professionally skeptical.
  • Strong interpersonal skills, excellent work ethic, highly credible and influential presenter (verbal and written), strong communicator and influencer, team player.
  • Superior analytical abilities and decision-making skills; ability to exercise independent judgment.
  • Demonstrate strong ability to write clearly and concisely.
  • Working knowledge of US regulations regarding Operational Risk and industry practices for global brokers or other financial services companies is a plus.
  • Strong MS Office skills, including data management and analysis.
  • A bachelor's degree is required; an advanced education degree is preferred.
To be successful in this position, you will have the following:
  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills.
  • Outstanding organizational and time management skills.
Company Benefits & Perks
  • Competitive salary, annual performance-based bonus and stock grant.
  • Retirement plan 401(k) with a competitive company match.
  • Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium.
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP).
  • Paid time off and a generous parental leave policy.
  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack.
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams.
  • Education reimbursement and learning opportunities.
  • Modern offices with multi-monitor setups.
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. We are a company that simplifies and enhances financial opportunities using state-of-the-art technology.

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