Event Manager
Future
Spark
Job Level
JuniorMid-Level
Tech Stack
Spark
About the role
- Conduct initial and ongoing risk assessments of partners, vendors, and third-party service providers.
- Review due diligence documentation, including financial, operational, and compliance materials.
- Monitor and update risk scores based on predefined criteria and emerging risks.
- Ensure compliance with CIP requirements during account opening and onboarding processes.
- Assist in designing and improving procedures for KYC and customer due diligence (DD).
- Collaborate with relevant teams to resolve CIP-related escalations.
- Act as a first responder to incidents and Sev escalations, including operational disruptions, and other risk-related events, and escalate as necessary to appropriate stakeholders.
- Support incident reporting, tracking, and escalation processes.
- Coordinate investigations of operational, compliance, or security incidents.
- Assist in conducting root cause analysis and implementing corrective and preventive actions.
- Support the development and maintenance of internal controls and risk mitigation strategies.
- Participate in risk assessments, audits, and regulatory reviews as needed.
- Assist with reporting risk metrics to senior leadership and relevant committees.
- Conduct internal controls testing to evaluate the effectiveness of existing operational processes and controls.
- Support ad-hoc risk management projects and initiatives as needed.
Requirements
- 5+ years of experience in risk management, internal audit, compliance, or a related field within the financial services industry.
- Bachelor's degree in finance, accounting, business administration, or a related field.
- Strong understanding of securities broker-dealer operations, regulations, and industry best practices.
- Excellent analytical, problem-solving, and critical thinking skills.
- Ability to effectively prioritize and manage multiple tasks in a fast-paced environment.
- Strong communication and interpersonal skills, with the ability to collaborate effectively across departments and levels of the organization.
