Global Securities Operations Risk Specialist
Grab the opportunity to achieve your full potential! Eclaro is looking for a Global Securities Operations Risk Specialist for our client in Charlotte, NC.
Eclaro’s client is one of the world's largest financial institutions, committed to providing the tools and services that bridge the gap between customers and their goals. If you’re up to the challenge, then take a chance at this rewarding opportunity!
The Americas (AMRS) Operations Risk Management team forms part of the Global Markets Operations department. They provide independent assessment / monitoring of risk and control issues across Global Securities Operations.
- Providing quality assurance & control over Operations key control processes
- Providing an independent assessment of control and risk issues for senior leadership of Operations and outside Risk organization
- Working with Operations line management to strengthen the control environment and improve control culture & practices
- Embedding a risk awareness culture across the Global Markets Operations
- Providing an oversight responsibility across regulatory processes within AMRS GMO&MO
- Reviewing and analyzing risk data including; Credit Alerts, New Product Reviews, Operational Losses, Regulatory submissions, Audit Status reporting, Sox and Finance reporting
- Providing Risk Business analysis on strategic risk change programs and directing priorities to remediating technology change requirements to mitigate those risks identified
The Operations Risk Specialist will be product or functionally aligned to Asset Services & Reference Data Global Market Operations and will be responsible for:
- Acting as the day-to-day Operations Risk Analyst for AMRS Asset Services & Reference Data, providing guidance for all risk and control issues that arise
- Perform a monthly independent risk assessment based on key risk and environmental risk. Set risk appetite and risk scoring. Present findings and opinions to senior management
- Assist the LOB with development of control policies and procedures
- Oversee the updating of process control documentation by the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur
- Support the timely closure of LOB Process Control Standard gaps, review LOB action plans and ensure successful implementation in conjunction with PCS standards
- Assist LOB in developing SIAIs and coordination of tollgates with Corporate Audit and COO team
- Monitor/gather/provide status reporting of issue remediation plan milestones to the Audit Liaison team
- Assist in the completion of pre-audit review documentation
- Assist the LOB with documenting and reporting Operations Losses and near miss data
- Understand root cause, make recommendations for improvements to operational processes and facilitate any changes
- Assist in the identification of key risks and Key Risk indicators /Key Control Indicators with the LOB
- Monitor Task Tracker supervisory reviews and escalate non-compliance as required
- Assist the LOB with control implementation/modification based on regulatory updates
- Attend weekly control meetings to review and action control breaks and issues
- Complete the requirements as set out by the Global Risk & Control function in respect of specific initiatives and projects e.g. payment controls including SSIs, payment thresholds, segregation of duties, Quality Assurance testing ,OFAC controls, confidential data, balance sheet & EIRT
- Work closely with other divisions e.g. Middle Office, Technology, Finance, Audit, Compliance on key control issues to develop appropriate reporting and processes
- Experience of working in an Operations environment. Regulatory, audit or risk/control experience is also desirable.
- Analysis skills (data and process) - Ability to analyze data/processes and create professional, clear and concise presentation documents, including process maps, that identify key issues/controls, identify process/control gaps and provide meaningful information to satisfy requirements
- Influence - Ability to influence LOBs to facilitate accurate and complete representations of the process and control environment. Ability to challenge in a firm but non-confrontational manner
- Organizational Skills - Excellent organizational & multi-tasking skills while at same time addressing variety of ad-hoc requests and issues as they arise. Ability to work to tight deadlines and produce accurate and complete analysis
- Communication - Ability to deal and communicate at all levels within the organization. Advanced written, verbal and presentation skills
- Control policy – Detailed understanding of operations support processes, procedures, controls and practices
- Product experience - Knowledge across operations product processes and control environment
Interested in applying?
Contact Charly Vie at email@example.com now.
Equal Opportunity Employer: Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.