Risk & Control Associate III

This role will engage key stakeholders in the Operations division to execute various risk assessment and key report testing requirements. Responsible for identifying, monitoring, and assessing risks that arise from business resiliency, third party oversight, Sarbanes-Oxley (SOX), and other regulations and then ensuring that the risks are addressed by Operations business owners through effective processes and controls.

Effectively controls the risks associated with business activities via the execution of firm's Enterprise Risk Management framework for identifying, assessing, treating, mitigating, monitoring, reporting and escalating risks. Responsibility Summary: Oversight of the Operations division's key report testing framework Collaborate with key business stakeholders to verify the completeness and accuracy of key reports relied upon by SOX and SEC 17a-5 controls Effective communication and coordination with the firm's independent external auditor Work in partnership with risk professionals on Operations and cross divisional risk assessments Assess process risks and controls for compliance with SOX and SEC 17a-5 requirements Assess process risks and controls for compliance with third party oversight and business resiliency expectations Assist in the facilitation of the division's annual business resiliency requirements Consult with key stakeholders on internal audit requirements and results Assist in development of risk training and education material for business partners.

Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements. Understands division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards. Stays informed on risk industry and educational/development opportunities.

Executes risk management procedural requirements for open high risks and control deficiencies including root cause analysis, action plan development, evidence, and remediation documentation including supporting business risk owners. Executes training and assists divisional associates in understanding the Enterprise Risk Management Program.