Senior Associate, FRM Full Time

*WILL SPONSOR H1B*

*Hybrid, 3 days onsite, 2 days remote*

A prestigious financial firm is on the search for a Senior Associate, FRM Risk Advisory Services. This person will focus on financial risk management, GRC, and have knowledge of industry regulations such as SEC/CFTC. The senior associate will need an understanding of quantitative models and methodologies and use that knowledge to advise on the associated governance, risk, and compliance activities to achieve positive outcomes.

Responsibilities:

• Learn, develop, and advance financial risk and GRC knowledge through practical experience and ongoing training, to promote efficiency, effectiveness, and maturity of FRM’s control environment
• Support training of RAS staff on FRM’s processes, GRC practices, and ad-hoc initiatives that support achievement of goals and objectives
• Support business units’ preparation, execution, and delivery throughout regulatory examinations and other internal or external reviews
• Support resolution of issues discovered during examinations, internal audits, compliance reviews and self-testing findings
• Monitor, coordinate, support, and document remediation activities of FRM and escalate issues, as necessary
• Support preparation of a summary of remediation activities and closure documentation to FRM leadership and governing committees
• Implement the FRM Department’s internal policies, procedures, processes, controls, and risk statements, Identifying and implementing enhancements for increased efficiency in processes, controls, and related documentation
• Promote best practices related to FRM’s documentation, including control rationalization and frameworks
• Support senior leaders on projects and cross-department collaboration and mentoring of staff
• Support interactions with regulators, exchanges and other external parties
• Implement risk management policies consistent with risk management and GRC best practices

Qualifications:

• Knowledge of applicable industry rules and regulations (SEC, CFTC,)
• Experience with educating stakeholders on GRC practices that enables them to effectively incorporate those elements into their processes and activities
• Experience with internal controls, risk assessment strategies, audit techniques, and project management
• Ability to understand, analyze, and design complex processes, including identification and implementation of recommended solutions
• Experience identifying, developing, and implementation solutions for processes that support governance, risk, and compliance activities
• Ability to understand, at a high level, quantitative models and methodologies and use that knowledge to advise on the associated governance, risk, and compliance activities to achieve positive outcomes
• Experience performing inherent and residual risk assessments and assessing design and operational effectiveness of applicable controls
• Full competency with use of the MS Office suite, with emphasis on Excel, PowerPoint, and Word
• Experience with Governance and Risk & Compliance Software such as Archer
• 1+ years of experience with audit, compliance and enterprise risk approaches within SEC or CFTC regulated businesses
• Experience within Capital Markets, SIFMU, CCP and/or Financial Services
• Bachelor of Science in Finance, Business or a related discipline
• [Preferred] Certified Regulatory Compliance Manager (CRCM), GRC Certification, or Certified Internal Auditor (CIA)

Tagged as: PWill, Sponsor