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Operational Risk AVP

Company: Social Capital Resources
Location: New York
Posted on: November 11, 2019

Job Description:

Top-Tier Investment Bank in Manhattan is looking for a permanent Operational Risk AVP!
Responsibilities:

  • Manages and contributes to the overall governance success of the Front Office Risk function in the United States
  • Ensures a framework for Front Office activities to be conducted in compliance with applicable regulations, and policies and procedures.
  • Assist in serving as a central governance function and help manage the day-to-day and strategic initiatives of the Front Office Risk & Control Group
  • Build out front office risk and control reporting structure and partner with management to create and produce reports
  • Ensure consistency from a local US perspective with parent bank's policies, procedures, and methodologies
  • Help maintain a consistent approach to supervisory and first line risk policies and procedures with tailoring, as needed for a changing business environment
  • Help maintain the Front Office Risk & Control Group project management plans
  • Perform Quality Assurance function within the team for various deliverables and work flows
  • Help maintain and establish escalation of risk and control information (breaches, limits, exceptions, etc.) throughout the established channels
  • Develop and facilitate front office training sessions
  • Assist in maintaining an inventory of key controls and conducting regular testing of key controls to assess their adequacy, in coordination with Compliance's testing
    Qualifications:
    • Ability to network, collaborate, and interview Traders, Supervisors and other stakeholders to attain necessary information for drafting written supervisory procedures.
    • Ability to develop relationships and coordinate with Compliance, Operational Risk, Audit and other control functions Effectively resolve differences in professional opinion encounters.
    • Change and project management to develop or enhance new and existing controls, technology and reporting
    • Series 7, 24, 9/10 or other principal licenses preferred or amenable to obtaining for role.

Keywords: Social Capital Resources, New York , Operational Risk AVP, Other , New York, New York

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