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Field Operational Risk Assistant Vice President
Finance & Investment Industry Company
Baltimore, MD, United States
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Description
Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in over 30 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Team Profile
The Field Operational Risk organization is a strategic change agent which builds trust-based relationships with Field Management, Products, and Business Support teams to improve our department’s control environment. We challenge the status-quo to uncover and realize efficiencies, accept accountability for persistent improvement, and leverage our broad spectrum of expertise to monitor and mitigate risk and detect unknown control gaps through a robust testing program.
Role: Assistant Vice President, Field Operational Risk (Baltimore, MD)
• Supervise team execution of Risk and Control Self-Assessment (RCSA) quality assurance testing across a wide range of functional areas, including: Field Management, Digital, Investment Solutions, Capital Markets, Strategy and Advisory Solutions, Infrastructure Risk, Investment Resources and Institutional Wealth Services
• Manage team resources and partner with key stakeholders (including business control units, control owners and operational risk leadership) to define test plans, execute testing, conduct test quality assurance, communicate test results and define control remediation plans if/when control gaps are identified
• Monitor and report on team metrics to identify patterns, trends and areas where increased management attention is warranted and to ensure timely completion of strategic objectives
• Independently analyze control team policies, procedures and common practices to continuously identify opportunities to improve team efficiency
• Develop and maintain operational risk team procedures, risk management tools and data repositories to facilitate efficient and effective activity execution
• Engage in a variety of strategic operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
Qualifications
• At least five (5) years of Financial services experience (familiarity with wealth management operations is preferred)
• Supervisory experience
• Risk, compliance and/or internal audit experience
• Strong proficiency with Microsoft Excel, Word and PowerPoint (familiarity with MS Access is preferred)
• Must be comfortable working closely with various business, risk, compliance and audit functions
• Excellent written and verbal communications skills required
• Bachelor’s Degree