Manager, Operational Risk - Securities - (US-VA-Richmond)

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From Jeff Altman: The Big Game Hunter

Manager, Operational Risk - Securities - (US-VA-Richmond)

Compensation: $123K - $160K / Year
Min Education: None
Job Type: Full Time
Jobcode: 184002WJA

Experience Required : 10+ years
Degree Required : None
Travel Required : None
The Regulatory Remediation Manager will report to the Director of Internal Controls and will be responsible for helping to oversee the control environment by monitoring and tracking outstanding issues and helping to facilitate the review and closure of issues. Primary responsibilities include coordinating the firm's 3012/342 certification and reporting process, and working with senior managers throughout the firm, as well as coordinating with Compliance, Risk Management, Legal and the Internal Review Manager to provide assurance remediation plans have been implemented to resolve outstanding regulatory issues. In addition, this position will assist the Chief Administrative Officer in the management of the Risk Mitigation Board. This will include developing tracking and reporting methodologies to facilitate consolidated analysis and management of risk metrics, monitoring and review of Risk Mitigation MBOS, and the review of the activities of the various risk related committees. This position is also responsible for the administration and improvement of the Issues Tracking and New Rule Databases. The Regulatory Remediation Manager will also be responsible for coordinating and monitoring the overall committee structure for the firm.

REQUIREMENTS: Thorough understanding of brokerage industry including business unit functions and regulatory requirements. 10 years financial services experience required. Experience in Compliance, Audit or other risk related discipline is strongly preferred. Ability to collaborate with others, initiate action, adapt to change, make difficult decisions and accept challenging assignments. Strong analytical and critical thinking skills including the ability to evaluate and solve problems from multiple perspectives. Knowledge of sophisticated and or complex products, processes or functions preferred. Advanced degree or certification (CPA, CIA, or CFA) preferred. Strong Written and verbal communications including negotiation and facilitation skills.

Candidate Must Have :
* Brokerage Experience
* Regulatory
* 10 years financial services
* Compliance
* Audit
Email resume in Word to jeffaltman@cisny.com. Please include the job code for the position with your resume.

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

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Jeff Altman, The Big Game Hunter
Concepts In Staffing
9 East 37 Street
New York, NY 10016