Develop, implement, and execute reoccurring Self-Assurance activities and support other enterprise risk assessments such as Risk Control Self-Assessment (RCSA)
Support cross functional groups to ensure comprehensive understanding of WIM Operations business process, control environment, tool/systems supporting process, and formal policies/procedures that align with key self-assurance activities (SAA)
Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations
Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors and translate moderately complex concepts into simplified solutions.
Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower-level staff
Resolve moderately complex escalated issues within the scope of responsibility in Security Operations
Research moderately complex business risks, influence policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
Lead or contribute to implementation of projects and new or revised processes and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk
Partner with other risk support groups, program functional teams and business groups as appropriate
Requirements
4+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of Wealth and Investment Management experience
2+ years of Operational Risk, Change Management, and/or Quality Assurance experience
Cross functional understanding of risk, policy management and controls (e.g. operations, market, client)
Strong management reporting skills, ability to translate data into actionable information
Strong ability to effectively multi-task, effectively manage multiple projects, and adapt to changing and competing priorities
Ability to interact with all levels of an organization including ability to prepare required level presentations
Ability to work in a fast-paced environment and operate successfully in a matrixed environment
Knowledge of enterprise risk frameworks and related processes
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Advanced Microsoft Office skills
Benefits
This position is not eligible for Visa sponsorship
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
Securities OperationsWealth and Investment ManagementOperational RiskChange ManagementQuality AssuranceRisk Control Self-Assessment (RCSA)Data AnalysisProcess ImprovementEnterprise Risk FrameworksManagement Reporting
Soft skills
Multi-taskingProject ManagementAdaptabilityInterpersonal CommunicationAnalytical SkillsAttention to DetailCollaborationMentoringProblem SolvingPresentation Skills