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Risk Associate - Investment Solutions - Full-time / Part-time
•30 days ago
| Hours | Full-time, Part-time |
|---|---|
| Location | Purchase, New York |
About this job
Responsibilities:
- Participate in the Risk Control and Self-Assessment (RCSA) process, including development of risk assessment matrices and execution of required testing.
- Review internal controls and procedures to ensure that business activities (new and existing) conform to established business control unit guidelines.
- Plan and perform examinations of internal controls residing within various product and business areas.
- Report risk management issues and internal control deficiencies identified to Business Control Unit Manager and ensure that issues and corrective action plans are posted to RADAR system.
- Prepare timely business control testing reports for Senior Management/Business Control Unit Manager.
- Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance and regulatory reviews.
- Review of existing Business Practices (Operational, Sales & Marketing, etc.) to determine needed enhancements/changes.
- Identify control gaps and opportunities for improvement.
- Ensure that operational risk incidents are properly posted to the Risk Incident Tracking Application (ReCap).
- Perform third-party on-site examinations (i.e., General Agency Reviews).
Qualifications:
- Thorough understanding of Investment Solutions products including mutual funds, insurance and annuities, closed-end funds, unit investment trusts, 529 plans and general knowledge of the corporate structure.
- Working knowledge of the firm's policies, procedures, and practices.
- Demonstrated strong understanding of Compliance and Audit practices.
- Excellent analytical and problem solving skills.
- Demonstrated ability to work independently, promote teamwork and execute sound reasoning and judgment.
- Excellent oral and written communication skills.
- Exemplary interpersonal and client service skills.
- Strong working knowledge of MS Office (Microsoft Word. Excel and PowerPoint).
- Series 7 & 66 licensing preferred.
- CPA/CISA preferred.
- Participate in the Risk Control and Self-Assessment (RCSA) process, including development of risk assessment matrices and execution of required testing.
- Review internal controls and procedures to ensure that business activities (new and existing) conform to established business control unit guidelines.
- Plan and perform examinations of internal controls residing within various product and business areas.
- Report risk management issues and internal control deficiencies identified to Business Control Unit Manager and ensure that issues and corrective action plans are posted to RADAR system.
- Prepare timely business control testing reports for Senior Management/Business Control Unit Manager.
- Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance and regulatory reviews.
- Review of existing Business Practices (Operational, Sales & Marketing, etc.) to determine needed enhancements/changes.
- Identify control gaps and opportunities for improvement.
- Ensure that operational risk incidents are properly posted to the Risk Incident Tracking Application (ReCap).
- Perform third-party on-site examinations (i.e., General Agency Reviews).
Qualifications:
- Thorough understanding of Investment Solutions products including mutual funds, insurance and annuities, closed-end funds, unit investment trusts, 529 plans and general knowledge of the corporate structure.
- Working knowledge of the firm's policies, procedures, and practices.
- Demonstrated strong understanding of Compliance and Audit practices.
- Excellent analytical and problem solving skills.
- Demonstrated ability to work independently, promote teamwork and execute sound reasoning and judgment.
- Excellent oral and written communication skills.
- Exemplary interpersonal and client service skills.
- Strong working knowledge of MS Office (Microsoft Word. Excel and PowerPoint).
- Series 7 & 66 licensing preferred.
- CPA/CISA preferred.
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