Job Description

Reference # : 21-01340Title : Risk/Controls Analyst
Location : Tampa, FL
Position Type : Contract
Experience Level : Start Date / End Date : 09/20/2021 / 02/19/2022
Description
Description:

The primary focus of the ICG Controls team is to provide value-added control oversight to our Operations partners. The Line Control Officer (LCO) will help the NAM Custody & Issuer Operations teams adhere to the Firm's operational control framework. The LCO will work with the Operations teams to monitor and evaluate risks and controls; assess how internal controls are functioning, identify control gaps, and recommend control enhancements.
The 4 key functional pillars of ICG Control Team are:

1. Management of Regulatory & Audit Reviews
2. Control Governance & MCA
3. Ensure adherence to Policy
4. Management of Operational Risk Events/Loss reviews

Key responsibilities of the LCO include:
• Ensure that identified Risks are being proactively documented and dimensioned via formal Issues/CAPs.
• Act as a shared owner of audits; issues are managed in a timely and appropriate manner. Ensure factual accuracy of issues and responses.
• Ensure appropriate validation of Issues/CAPs takes place before closure.
• Advise Ops team on all aspects of MCA governance. Continually review content of MCA to ensure key risks are included and tested.
• Recommend and establish Key Risk Indicators (KRI), continuously monitor against established thresholds.
• Drive metric reporting and own / contribute to the fulfilment of reporting, disclosure, and attestations requirements.
• Monitor weekly operational break reporting and work with the business on an ongoing basis to facilitate clearance of aged items.
• Ensure all relevant policies are understood and adhered to. Partner with Ops team to implement new policies, and ensure team is aware of changes in Policy, including identification of training as required.
• Create Policy interpretation documentation.
• Partner with Ops team to capture, track, learn from and minimize losses and near miss events. Identify event themes, share, and implement 'lessons learned' with Ops Management and document Corrective Action Plans (CAPs).
• Develop and Conduct Thematic reviews across Ops teams.

Qualifications:
• 6-10 years experience in Operational Risk is a must. Other risk and control disciplines would be a plus – credit, and market.
• Experience in Internal Audit or Financial Control would be desirable.
• Expertise in the following is beneficial: Fraud Awareness and Risk Management Legal and Regulatory Compliance, specifically
• Management of a global operations and a complex environment that includes global teams.
• Excellent communication skills – verbal & written
Education:
• Bachelor's/University degree, Master's degree preferred

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