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    Operational Risk Associate - Chicago, United States - Phaxis

    Phaxis
    Phaxis Chicago, United States

    1 day ago

    Phaxis background
    Description

    Currently partnered with a growing broker dealer that is seeking a strong Operational Risk Associate to join their team in NYC or Chicago. The ideal candidate will be implementing robust risk management practices to monitor and mitigate potential threats to maintain the overall financial stability of the company.

    Responsibilities

    • Lead Risk and Control Self-Assessments (RCSAs) while fostering continuous improvement across the region
    • Conduct control testing and collaborate with stakeholders to address control gaps and facilitate remediation efforts
    • Monitor and report on risk events and operational losses, documenting new controls, conducting operational risk impact assessments, and escalating to management as needed
    • Assist in the rollout of individual components of the Operational Risk Management Framework
    • Produce and maintain reporting on risk appetite metrics and Key Risk Indicators (KRIs) to offer strategic insights into operational risk
    • Ensure compliance with regulatory requirements under SEC, Client, NFA, CFTC, and other applicable exchanges
    • Escalate risk events immediately

    Skills And Experience

    • 3-5+ years of cumulative experience in operational risk, compliance, or internal control roles in Financial Services
    • Current or previous experience at a broker dealer
    • Proficiency in MS Office tools (Excel, Access, Word, PowerPoint) with the ability to streamline data and standardize risk reporting
    • GRC and PowerBI tools preferable

    If interested don't wait to apply

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