Wealth Management
1 week ago
Make your mark by ensuring operational excellence and risk mitigation for our team. Join us to champion a robust control environment and drive continuous improvement in compliance and audit readiness.
Job Summary:
As a Senior Associate Controls Champion in our team, you will play a critical role in safeguarding the firm and its clients from risks. You will develop, implement, and monitor control frameworks, conduct risk assessments, and ensure compliance with regulatory requirements. You will collaborate closely with Operations, Compliance, Risk Management, and Internal Audit to maintain a robust control environment. In this role, you will promote a culture of risk awareness and audit readiness, drive continuous improvement, and prepare comprehensive reports for senior management.
Job Responsibilities:
• Design and implement comprehensive control frameworks to mitigate operational risks
• Regularly review and update control procedures to align with industry best practices and regulatory requirements
• Perform regular risk assessments to identify operational risks and vulnerabilities
• Develop and implement risk mitigation strategies to address identified risks
• Maintain audit readiness by ensuring processes and controls are well-documented and current
• Coordinate with Internal Audit and external auditors to facilitate efficient audit processes
• Promptly identify and report errors, ensuring accurate documentation and escalation to senior management
• Conduct thorough investigations to determine root causes and develop action plans for resolution
• Collaborate with stakeholders to implement corrective actions and process improvements
• Conduct regular control testing and monitoring to ensure effectiveness of control frameworks
• Prepare comprehensive reports on control activities, risk assessments, and audit findings for senior management
Required qualifications, capabilities, and skills:
• Five years of experience in investment operations, risk management, compliance, internal audit, or a related field
• Proven track record in developing and implementing control frameworks
• Experience in conducting risk assessments and implementing risk mitigation strategies
• Strong understanding of audit processes and requirements
• Excellent collaboration skills with the ability to work closely with Operations, Compliance, Risk Management, and Internal Audit
• Strong analytical and problem-solving skills, including proficiency in root cause analysis
• Exceptional verbal and written communication skills
• High level of attention to detail to ensure accuracy and compliance in control and risk management
• Ability to prepare comprehensive reports and documentation for senior management
Preferred qualifications, capabilities, and skills:
• Advanced proficiency in analytical tools and techniques
• Experience in delivering training and awareness programs
• Demonstrated success in driving continuous improvement initiatives
• Experience in a global financial services organization
• Strong interpersonal skills to facilitate effective communication and collaboration
• Ability to implement innovative solutions to strengthen risk management capabilities
• Experience in process improvement and change management
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