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Senior Manager, Operational Risk Management (Capital Markets) - Req. 1900860


Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to translate business strategy into comprehensive risk assessment programs and manage the work of other staff in conducting reviews and developing risk profiles for the firm’s Capital Markets segments. Leads large or multiple projects with significant scope and impact. Manages others in performing difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Extensive contact with executive management and is required to lead others in identifying, researching, analyzing and resolving complex issues.   

Essential Duties and Responsibilities:
  • Develops and executes risk and control consulting activities for assigned areas of responsibility in accordance with internal standards, relevant government statutes and regulations.
  • Oversees multiple engagements concurrently from planning through reporting and produces quality deliverables in accordance with both department and professional standards.
  • Applies comprehensive expertise in one or more of the firm's businesses and leverages this knowledge into a leadership role in one or more teams.
  • Directly manages Managers and staff and performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff.
  • Attracts, develops, and retains talent within the Risk Management organization and the Firm.
  • Establishes strong relationships with senior leaders, including executive management, and related control groups.
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners.
  • Holds entire team accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology.
  • Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.
  • Implements and executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends.
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model.
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives.
  • Stays up-to-date with evolving industry and regulatory changes impacting the business.
  • Builds and maintains effective working relationships with Regulators and External Auditors.
  • Manages expenses to budget, solving for department inefficiencies and excess spending.
  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:
Knowledge of:
  • In-depth understating of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts.
  • Specific subject matter expertise regarding control disciplines and a solid business understanding of the financial services industry.
  • Advanced investment concepts, practices and procedures used in the financial services industry.
  • Principles of finance and securities industry operations.
Skill in:
  • Managing direct reports including managers and staff.
  • Demonstrated ability and success in interacting with and influencing senior leadership, including executive management.
  • Experience in managing against deadlines associated with an annual project plan.
  • Strong analytical skills particularly in regard to assessing the probability and impact of a control weakness.
  • Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.
  • Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability.
  • Proven ability to multitask as well as assess and change priorities.
  • Ability to work well individually, and in teams, share information, support colleagues and encourage participation.
Ability to:
  • Perform human resource management activities. 
  • Plan, assign, monitor, review, evaluate and lead the work of others.
  • Coach and mentor others.
  • Identify training needs and develop subordinates.
  • Balance conflicting resource and priority demands.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations.
  • Attend to detail while maintaining a big picture orientation.
  • Gather information, identify linkages and trends and apply findings to assignments.
  • Communicate effectively, both orally and in writing.
  • Read, interpret and apply information from business periodicals and professional journals.
  • Lead others in providing a high level of customer service.
  • Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Experience Requirements:
  • Bachelor’s Degree and a minimum of seven (7) years experience in a related field.
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.
  • CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series 7 preferred