HireForce Staffing Solutions is hiring a

Risk Control Specialist / Securities Operations:

Charlotte, United States

No. of Openings:  1

Location:  Charlotte, North Carolina

Job Type:  Full-Time

Salary:  $110,000.00 - $120,000.00

Industry:  Banking

Experience:  2-5 years

Education:  Bachelor's Degree

Category:  Finance

Travel:  Never

Relocation Assistance:  No - Local candidates only

Candidate Guarantee Terms:  90 days

Work Eligibility:  US Citizen


The Global Securities Operations Control and QA - Risk Governance team forms part of the Global Securities Operations team. The team provides risk reporting and risk governance supervision controls across Global Securities Operations. The senior business control specialist will be aligned globally to Global Securities Operations team and provide key risk reporting, issue management and regulatory exam support. The associate will interact with GSO leadership on risk issues/reporting.



Development and maintenance of Operational Process Control Standards to identify control opportunities within the Global Securities Operations (GSO) team

Support the GTO and LOB Risk Control Self Assessment process and provide guidance to the GSO team on risks, controls, metrics and reporting

Provide thought leadership and guidelines to the GSO Risk & Control framework in order to minimize risk

Provide support to the GSO LOB’s in the preparation and submission of Operational Events for Operational Risk Capital calculations

Provide monthly Risk reporting to senior GSO managers and coordinate the gathering of critical risk metrics and LOB risk updates

Provide support for regulatory reporting changes/requirements and work with the GSO LOB’s to understand and implement appropriate regulatory required processes/reporting

Act as the point of contact for Regulatory and Audit exams and work with the GSO teams to supply necessary information/documents to meet the regulatory requests

Additional Risk Governance related processes to assist in the mitigation of operational risk within GSO

Providing quality assurance & control over Operations key control processes

Providing an independent assessment of control and risk issues for senior leadership of Operations and outside Risk organizations

Working with Operations line management to strengthen the control environment and improve control culture & practices

Embedding a risk awareness culture across the Global Markets Operations

Providing an oversight responsibility across regulatory processes within EMEA GMO & MO

Reviewing and analyzing risk data including; Credit Alerts, New Product Reviews, Operational Losses, Regulatory submissions, Audit Status reporting, Sox and Finance reporting

Providing Risk Business analysis on strategic risk change programs and directing priorities to remediating technology change requirements to mitigate those risks identified

Assist the LOB with development of control policies and procedures

Oversee the updating of process control documentation by the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur

Support the timely closure of LOB Process Control Standard gaps, review LOB action plans and ensure successful implementation in conjunction with PCS standards

Assist LOB in developing SIAIs and coordination of tollgates with Corporate Audit and COO team

Monitor/gather/provide status reporting of issue remediation plan milestones to the Audit Liaison team

Assist in the completion of pre-audit review documentation


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