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
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