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Risk Analyst - Capital Markets

Location : Charlotte, NC
Job Type : Direct
Reference Code : TVCLT
Hours : Full Time
Required Education : Bachelors or Masters Degree
Travel : No
Relocation : No

The Capital Market Risk Analyst's primary function is to implement an effective control framework across the Capital Market brokerage, looking within and across the lines of business, to identify and remediate control issues with a sense of urgency regardless of the source. The Team partners with all other control disciplines, adding an additional line of defense supporting Compliance, Risk and Audit, among others.The Team works in partnership on the development of new, and oversight of existing, control functions and protocols throughout the Firm and provides a centralized view of and from all control functions, assisting in immediate, real time problem detection and escalation. The Risk Control Self Assessment (RCSA) Analyst will be part of an independent team that performs proactive testing and validation on CCB controls, processes and procedures. The Operational Control and Audit team partners with process owners to ensure that risks are properly identified and mitigating controls are in place to maximize customer and shareholder value. The Analyst assists management with all audits from Corporate Audit, Compliance, OCC etc…Coordinates development and implementation of action plans and target dates stemming from regulatory and/or business audits. The position interfaces with senior management and counterparts across all Operations functions as well as Audit, Corporate Risk Management, Operational Risk Management and compliance. The Risk Analyst:

  • Monitors and tests control and business exception reports.

  • RCSA- Risk and Control Self Assessment

  • Conducts mapping to improve processes and controls

  • Partners with various department heads to understand product owner subject matter and provide process improvement

  • Conducts proactive audits to target specific and high risk processes or functions, reviews procedures, training materials, controls and account testing.

  • Verifies accuracy and ensures compliance with plans, policies and procedures prescribed by management.

  • Develops and administers ongoing exception-based queries to test critical and sensitive transactions to ensure compliance with policies and procedures and identify emerging trends and issues.

  • Delivers review findings to process owners for correction and assists process owners with the development of action plans to address significant process or control gaps.




  • Experience in controls, risk, compliance, audit or testing

  • Capital Markets Experience

  • Risk/Compliance Capital Market Experience

  • (CERP, CRCM, CSOP) Certification Preferred

  • Operational Capital Market experience preferred

  • Strong communication and leadership skills

  • Exceptional collaboration skills

  • Excellent written and verbal communication skills

  • Be able to effectively multi task

  • Demonstrative analytical skills

  • Self motivator

  • Working within multi-site teams

  • Highly organized and keen time management skills

  •  Project management, audit and negotiation skills beneficial

  • Proficiency in MS Word, Excel, PowerPoint required (Advanced skills preferred)

  • Proficiency in MS Access preferred

  • Experience with ACL Analytics Software or comparable programs preferred

  • 4+ year of experience in technical disciplines preferred (e.g. access administration, change management)

  • Work effectively in a team environment as well as on your own

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