Operations and Compliance Analyst, Capital Markets Risk

3 weeks ago

Reston, United States Catapult Solutions Group Full time

SUMMARY OF POSITION

The Capital Markets Risk, Operations and Compliance Analyst will be responsible and accountable for supporting existing operational, compliance and risk requirements effectively and prudentially in coordination Capital Markets and Debt Services business areas. This role will work in tandem with the Capital Markets and Debt Services business areas as the “1st line of defense” in developing, documenting and monitoring new and existing business processes. The individual, with guidance from the Capital Markets Risk, Operations and Compliance Managers, will work closely with Risk Management, Compliance and Legal areas to achieve their objectives consistent with the mission and risk appetite. In addition, there is an opportunity for this role to meaningfully contribute to the process and control modernization efforts.

PRINCIPAL RESPONSIBILITIES:

  • Support Capital Markets and Debt Services operational processes, including coordinating and executing testing activities, supporting application change requests, documenting operational incidents, and performing other operational tasks as needed;
  • Work with Capital Markets and Debt Services to identify and implement operational process enhancements that improve business processes and achieve more effective risk, compliance and regulatory outcomes;
  • Coordinate with Risk Management, Capital Markets and Debt Services and support business continuity and resiliency tests, including the Funding Contingency Plan and the Master Business Continuity Plan;
  • Coordinate with Capital Markets and Legal to maintain the Dealer Operating Circular, Bank Operating Circular, internal procedures, and other key legal agreements and guidelines;
  • Support Capital Markets and Debt Services in completing the Risk Controls Self Assessments (RCSA) and coordinate and perform validation testing requirements for Risk Management, Compliance and Internal and External Audit reviews for Capital Markets and Debt Services;
  • Develop and maintain relationships and understanding including asset-liability management, credit, and investment products, funding constraints, hedging styles, and risk tolerance;
  • Collaborate with and support project teams to develop solutions that can be utilized within the suite of applications to enhance issuance and servicing processes and controls;
  • Provide support to the Capital Markets and Debt Services business areas to develop and execute project test plans;
  • Support End User Computing (“EUCs”) testing and remediation to ensure the EUCs are effective in meeting business, risk and compliance requirements and consistent with mission and risk appetite;
  • Attest to compliance with new and existing regulatory requirements;
  • Support the diversity and inclusion (D&I) strategy by following policies and procedures that ensure opportunities for employees and diverse business partners;
  • Interact with individuals from bond dealers and swap counterparties, the Federal Housing Finance Agency and the external auditor;
  • Assist with other job duties as assigned.


PRINCIPAL REQUIREMENTS:

  • Minimum: Bachelor’s degree in finance, accounting, risk or other related business field or equivalent experience;
  • Minimum: 3-5 years professional experience in capital markets, banking, financial services or other related industry;
  • Demonstrated knowledge of capital markets operations, risk management, compliance and business continuity experience;
  • Professional curiosity to identify and drive improvements and opportunities with a willingness to get into the detail and frame the solution;
  • Ability to proactively use analytical and critical thinking skills to problem solve;
  • High degree of organization and ability to prioritize across multiple projects;
  • Attention to detail and commitment to quality;
  • Familiarity with testing, evaluating and documenting controls for compliance is a plus;
  • Demonstrated ability to use Microsoft Outlook, Word, and Excel;
  • Familiarity with business intelligence applications (e.g., PowerBI, Tableau) is a plus;
  • Prior experience with a Governance Risk Compliance tool is a plus;
  • Ability to listen and integrate ideas from diverse groups of individuals, build and maintain respectful relationships, collaborate with others, and resolve conflicts constructively;
  • Effective oral and written communication skills;
  • Proof of eligibility to work in the United States.

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