Operations Risk & Controls Associate

Job Type:Full Time

Focus includes:

  • Acting as trusted Operations control advisors and as a first line of defence with Operations on the control agenda.
  • Representing Operations interests vis-a-vis control/regulatory initiatives.
  • Executing and implementing Operations control priorities and strategy.
  • Leading operations supervisory management and execution.
  • Managing control and risk governance implementation and reporting.
  • Driving risk mitigation and control remediation programs across the business.

Key Responsibilities:

  • Works in partnership with Control Managers to coordinate responses to and advise on regulatory inquiries and exams.
  • Supports Control Managers with post-exam remediation and coordination of the administrative aspects of issue and action plan management.
  • Focuses on themes, underlying patterns and opportunities for operations to proactively address concerns and avoid future regulatory actions.
  • Partners with operations to prepare for audit / compliance testing.
  • Participates in control meetings to provide view on operations control risks and issues.
  • Oversees the development and implementation of procedures.
  • Monitors and oversees timely closure of operations issues and action plans.
  • Responsible for execution of the Control and Operational Risk Evaluation (CORE). Formally known as RCSA.

A number of skills will be important in this role including:

  • Knowledge of Fund Accounting
  • Demonstrates ability to think strategically with respect to risk/control and regulatory agendas.
  • Client. Operations and/or regulator facing experience.
  • Strong organizational & planning skills and a track record of delivery.
  • Strong process orientation and attention to detail.
  • Good communication skills with the ability to work with others at all levels and across disciplines in a virtual organization.
  • Ability to deal with issues on a global, cross business level.
  • Knowledge of Alteryx, Qlikview or Tableau of benefit.