RCSA Consultant (Risk & Compliance)
Charlotte, NC / New York, NY (Hybrid, 3 day's onsite)
***W2 Only***
No C2C or 1099 or Sponsorship allowed with this requirement.
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Job Description:
Skills:
- Operational risk and controls. Audit, issues management, new third party vendors
- RCSA
- The Corporate and Investment Banking (CIB) Control Team is responsible for the implementation and management of the First Line of Defense risk program requirements.
- This position resides within the Equities Business Control team and supports the broader Equities business that includes Cash Trading, Derivatives Trading, Equity Finance, Equity Advisory and the FCM.
- This role will assist with support of the Equities Research, Research Sales and Economics and will require a candidate with an indepth understanding of Equity products, market practice, operations, technology and relevant regulations.
- As part of the business control team, the role will support business leadership and COO teams to design and implement first line controls with respect to a variety of regulatory requirements, client policies and industry best practices.
Specific responsibilities include:
- Execute risk framework requirements such as the RCSA, creation and alignment of metrics
- Establish governance for open and upcoming items across all risk inventories and programs.
- Collaborate with Line of Business (LOB) partners on control design, implementation and monitoring.
- Ensure the LOB profile of applicable regulations and associated controls is maintained and monitored.
- Ensure appropriate connectivity, linkage, and integration with inregion international risk management teams.
- Establish the inventory of all relevant business processes, governance channels, internal testing, audit, and regulatory engagements is maintained
- Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls.
- Participate in business growth initiatives and maintain awareness of platform changes
- Awareness and involvement in regulatory change control, and alignment of related controls.
Desired Qualifications:
- Direct experience with Equity Research and related control frameworks
- Demonstrated understanding of rules and regulations applicable to the Equity Research business
- Experience with operational risk framework, the RCSA and related control programs
- Prior experience in a business control or compliance role with focus on control design and evaluation.
- Prior experience with governance frameworks and management reporting of nonfinancial risk profiles.
