Sr Risk Analyst Jobs

• Performs data collection and analysis to assist in identifying, analyzing, and recording risk trends that drive program operations.

• Assists in preparing written reports and developing spreadsheets related to various risk issues and business requests.

• Supports risk and control efforts for RCS in accordance with internal standards, relevant government statutes and regulations.

• Partners with colleagues and business process owners to evaluate the control environment related to the custody and clearing business to strengthen internal controls and mitigation strategies.

• Develops and maintains an in-depth understanding of the custody and clearing business, its products, and supporting functions.

• Stays up-to-date with evolving regulatory changes and market events impacting custodians, clearing firms, RIAs, and IBDs.

• Assists in performing reviews for assigned areas to identify critical controls and mitigation strategies.

• Builds and maintains key relationships with stakeholders, demonstrating a culture of engagement and assistance.

• Performs other duties and responsibilities assigned.

Qualifications:

• Fundamental concepts, practices, and procedures as it relates to the custodial and clearing business

• Fundamental concepts of financial markets, services, and products.

• Fundamental concepts of business risk monitoring, analysis and management.

• Regulatory rules, forms, reporting, and guidance for establishing custody and clearing relationships, and broker-dealer best practices.

• · Microsoft Office (e.g., Word, Excel, and PowerPoint)

• Preparing written reports and delivering formal synopsis or data.

• Working understanding of financial services and operational risk, and regulatory controls.

• Excellent verbal and written communication and interpersonal skills with the ability to present complex and sensitive issues.

• Strong analytical skills, particularly with regard to assessing the probability and impact of an internal control opportunity.

• Cultivating and maintaining effective working relationships at all levels of the organization.

• Have detailed understanding of policy, procedures and processes while maintaining a big picture orientation.

• Gather information, identify linkages and trends, and proactively apply findings to drive business improvements.

• Build and maintain strong working relationships with internal partners.

• College degree in accounting, finance, economics, or business-related field.

• At two years of work with custodian platforms and registered investment advisors experience.

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• Previous experience with clearing platforms for introducing broker dealers highly desired.

Series 7 (preferred)