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Job Description
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OPERATIONAL RISK ANALYST $71K
Operational Risk Analysts’ job involves identification, measurement and management of risks resulting from inadequate or failed internal processes or systems, or from human error or external events as business practices or employee litigation, system outages, insider trading, credit fraud, and transaction processing errors. The goal of Operational Risk management is to identify and mitigate excessive operational risk thereby protecting the firm's bottom line or reputation with customers, investors and regulators. The Operational Risk Analyst works as part of a team on "deep dives" to mitigate problems that have resulted in significant losses or have otherwise hurt the firm's franchise. The Operational Risk Analyst also contribute to risk mitigation by: analyzing operational risk data to identify areas of excessive risk and also to ensure past mitigation efforts are having the desired effect; investigating what is causing metrics to deviate from trend and escalating situations that pose excessive risk; identifying root causes of major internal losses and ensuring similar businesses around the world are aware of risks and recommendations.
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Desired Qualities
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- Undergraduate degree in Economics, Finance, Statistics or related areas
- 2 years of work experience at Financial Markets and products
- Analytical inquisitiveness and problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
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Job Description
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COMPLIANCE MANAGER $60K
Responsible for the development, implementation, documentation, and monitoring of an ongoing contract compliance program for area(s) of responsibility. Ensures compliance with service level agreements derived from contractual guidelines and standards. Serves as liaison with other organizational components; establishes and maintains the working rapport necessary to develop cooperation and effectively integrate area services into the company’s overall business fulfillment system. Directs the preparation of records as well as recurring and special reports and analyses for area(s) of responsibility ensuring that they are complete, accurate and prepared on time. Reviews and interprets these in order to ascertain the extent to which goals are being attained and takes corrective action as necessary. Hires, develops, evaluates, and (when necessary) disciplines and discharges subordinates personnel or makes authoritative recommendations in such matter. Develops function-specific orientation and training programs for area personnel. Establishes standards for effective job performance and evaluates subordinates according to such standards. State law requirements. Securities & Brokerage. Specific laws and regulationss that apply to the proper segment. Review all requirements in the Applicability Matrix and revise, where needed. Review all OCC guidance and reconcile the applicability matrix to ensure full coverage. Reconcile data entered into new system.
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Desired Qualities
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- 5 years of full-time experience in compliance, audit, legal, finance or risk management
- Bachelors degree from an accredited college or university or equivalent experience required
- Professional certification such as CRCM, ACAMS
- Understanding of the Cmpliance Risk Policy, Standards and Procedures, Risk Management and Control Framework
- Compliance Management Program Framework, specifically as it relates to: Governance, Training, Risk Assessment, Corrective Action, Decision Making, Monitoring and Reporting.
- Compliance Management Program and Compliance Decision Making Governance (CDMG)
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