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Risk Officer / Analyst (Closed)

SkillStorm is seeking a Risk Officer / Analyst for our client in Charlotte, NC. Candidates must be able to work on SkillStorm's W2; not a C2C position. EOE, including disability/vets.

Job Description:

  • Excellent communication skills (must have)
  • Critical thinking capabilities (must have)
  • Organizational skills (must have)
  • Risk identification (must have)
  • Ability to work under pressure with tight deadlines (must have)
  • Adept at problem solving (must have)
  • Adaptable to change (must have)
  • 2-5
  • Excel
  • The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Specialist is an individual contributor member of an Enterprise Area of Coverage Compliance and Operational Risk team. This role is on the (AIM) Outside Business Activity team and is responsible for maintaining enterprise-wide oversight of policies, processes, controls, laws, rules, and regulations that have enterprise-wide applicability, affecting every Front Line Unit and Control Function at the firm. The EAC C&OR Specialist is responsible for identifying, escalating and mitigating risks in a timely manner in alignment with the Compliance and Operational Risk Management (CORM) Program, the Global Compliance Enterprise Policy (GC Policy) and the Operational Risk Management – Enterprise Policy (ORM Policy). This role will have responsibility for identifying and mitigating conflicts of interest, as well as providing advice and guidance to employees/contractors and supervisors as to the requirements of the Associate Investment Policies as they relate to employee outside business activities. Specialists will also assist in the review and determination of pre-hire request for new candidates as well as other activities that relate to outside business activities. The role may also support other functions on the AIM team from time to time.
  • The EAC C&OR Specialist is accountable for the requirements in the Global Compliance and Operational Risk Policies, and may assist periodically in any of the following activities for the AIM EAC:
  • Establish, monitor and report on enterprise risk tolerance metric(s) that are translated and connected to relevant business metrics (Key Risk Indicators)
  • Update relevant policies to ensure they reflect regulatory requirements
  • Conduct annual and targeted risk assessments
  • Monitor and test the effectiveness of the front line units and control functions’ processes and controls
  • Identify, aggregate, report and escalate compliance and operational risks, issues and control enhancements
  • Assist with preparations for regulatory exams and audits
  • Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other regulatory and audit actions are completed
  • Escalate regulatory relations concerns to EAC C&OR Manager or Executive.
  • Candidate Requirements (Including Years): Required skills:
  • Degree Required: Bachelor’s Degree or equivalent experience
  • Self-starter
  • Strong written and verbal communication skills
  • Adept at problem solving
  • Demonstrated ability to be effective in an execution oriented environment
  • Flexible and able to adapt to change
  • Data Interpretation

Desired Skills:

  • Brokerage or securities background
  • Operations
  • Risk identification
  • Risk Analysis

#LI-DNI

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All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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