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Broker Dealer Operational Risk Manager

Location : Tampa, FL
Job Type : Direct
Hours : Full Time
Required Years of Experience : 3
Required Education : Bachelors
Travel : No
Relocation : No

Brokerage Operational Risk Manager (Operations & IT)


Are you seeking your next exciting opportunity to work with a dynamic team and organization?


A large Global Bank’s is looking for someone within Operational Risk specifically with experience as an Operational Risk Manager as well as experience with IT  in Tampa. The Bank is offering a highly competitive pay, bonus, great benefits, room for growth and excellent work-life balance.


Would you happen to know anyone that you can refer or interested? For more information please contact me (Gustavo Rendon) at Grendon@ascendo. com



  • Assists in the development and execution of brokerage risk and control consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes, and regulations.

  • Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns.

  • Interprets, applies and recommends changes to organizational policies and procedures. Maintains currency in relevant risk management processes and procedures.

  • Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends.

  • Oversees or leads engagements from planning through reporting and produces quality deliverables in accordance with both department and professional standards.

  • Directly manages junior staff and performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff.

  • Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.


  • In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts in the securities industry.

  • Managing employees, either directly or indirectly through risk management engagements.

  • Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness.

  • Perform human resource management activities.

  • Plan, assign, monitor, review, evaluate and lead the work of others.

  • Identify training needs and develop subordinates.

  • Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations.

  • Read, interpret and apply information from business periodicals and professional journals.

  • Establish and maintain effective working relationships at all levels of the organization.

  • Bachelor’s Degree and a minimum of six (6) to eight (8) years of experience in a related field.

  • CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series 7 preferred.

Also, I would like to connect with you via LinkedIn. Please feel free to send me an invite at

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