Risk & Controls Project Team Lead

Management Level

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us

EQ's vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

The Business Risk & Controls ('BRC') team is a specialist First Line team operating within the Equiniti US Shareholder Services division. This team is responsible for the oversight and implementation of the group risk & control framework. Working in close collaboration with the products/business line along with other complimenting Business Risk & Control teams, this group is responsible for governance and overall oversight of the control landscape and strategy for the Division (risk identification, risk assessment, risk measurement, risk mitigation, control design, control operations, read-across implications to enhance controls, controls testing program, and key controls oversight in the system of record). This group will ensure best practices are adhered and implemented in collaboration with the 2nd and 3rd Lines of Defense.

The BRC team closely aligns with the businesses for enterprise-wide risk framework activities including RCSA/PRCSA (top-down and bottom-up), risk appetite monitoring, lifecycle oversight of operational incidents, ongoing monitoring/reporting of existing and emerging risks, operational risk and control framework activities including design, implementation, ongoing monitoring/reporting, and testing/validation of controls. This is a rapidly evolving area of our business, in a changing environment, which is both challenging and demanding.

We are looking for an accomplished and seasoned applicant with equivalent work experience, supplemented with wider financial business and product knowledge from other roles, to be a part of the BRC Risk & Controls function for the Division.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Program manage divisional efforts for developing a baseline of Process, Risk & Control deliverables for assigned business/divisional functions through workshop sessions or other methods of data collection and verification.
• Lead and direct an offshore team of process, risk and control analysts to support the creation of process maps, risk inventory, controls inventory and PRCSA (Process Risk & Controls Self-Assessments) deliverables in close collaboration with the Business Risk & Control Directors.
• Lead efforts to identify and facilitate process mapping leveraging BPMN 2.0 protocol, developing a baseline inventory of process maps.
• Lead efforts to identify and assess Risks including but not limited to Risk Identification, Risk Assessments, Risk Measurement and Risk Mitigation among other topics.

• Lead efforts to identify Controls including but not limited to controls identification, documentation and design standards assessments among other controls related topics.
• Support management in identifying and proposing risk mitigating actions resulting from internal processes, people, systems or external events to inform the controls framework and identifying remediation/prevention measures.
• In collaboration with the business, initiate and oversee the completion of a divisional RCSA and/or a process-level PRCSA processes to identify residual risk levels, proposing remedial actions where required.
• Question the status quo and identify issues and improvements.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviors:

• 5+ years in the Financial Services industry, with previous experience in a Risk and/or Controls discipline (e.g., Internal Audit, Compliance, Operational Risk, Controls)
• Ability to build/contribute to a team and lead an organization of control specialists.
• Detailed understanding of key concepts in risk management (RCSA, Risk Identification, Risk Appetite & Profiling, Risk Metrics, etc.), and in control design, enhancement, implementation, testing and reporting.
• Experience in performing detailed risk reviews, risk evaluations and determining areas of improvement in concert with the Controls and Policy & Training teams.
• Demonstrated experience in being proactive to managing and addressing risks and control gaps at a first line level.
• Ability to work across different types of businesses and second line functions including but not limited to Legal, Compliance, Risk, etc.
• Delivery focused - proven ability to optimally drive projects / reviews / tasks to completion at a high standard.
• Ability to manage multiple priorities and deliver to established timeframes.
• Excellent verbal and writing skills - candidate will be expected to articulate complex control issues in a structured, concise, and effective manner.
• Ability to engage and influence with proficient interpersonal skills.
• Astute problem solver with solid analytical skills who is competent with Microsoft Office with above average expertise in Excel and PowerPoint is necessary.
• Outstanding written and verbal communication skills with an eye for accuracy and consistency, excellent grammar, composition, and proofreading skills
• Excellent organizational and project management skills.

Compensation

• $45.00 per hour

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.