As a Control Manager within the Prime Financial Services business, you will be responsible for designing, implementing, and evaluating controls to manage non-financial risks. You will work closely with internal and external stakeholders to ensure effective risk management and compliance with regulatory requirements.
Job Responsibilities:
- Create a proactive risk and control culture using proven evaluation strategies.
- Identify, escalate, and record operational errors, performing risk analysis.
- Review incidents with stakeholders to determine root causes and remedial actions.
- Analyze program-related data to support business programs and strategies.
- Provide leadership for the Risk & Control Self-Assessment execution.
- Engage with control colleagues across various functions and regulators.
Required Qualifications, Skills, and Capabilities:
- Bachelor’s degree or equivalent experience required.
- Must possess or be open to obtaining Series 7 and Series 24 within 6 months, and Series 4 within 9 months of hire.
- Authorized to work in the United States due to security license requirements.
- Understanding of Equities products and markets, including Listed Options and Securities Lending.
- Good judgment and poise for interacting with senior management.
- Proficient knowledge of control and risk management concepts.
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).
Preferred Qualifications, Skills, and Capabilities:
- 7 years of experience in controls, audit, quality assurance, risk management, or compliance.
- Experience in designing and evaluating Risk & Control Self-Assessments.
- Strong influencing skills and ability to engage with senior stakeholders.