9 дней назад
AVP, ISP Risk Management
120 000 - 140 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
AVP, ISP Risk Management (Securities Operations): Managing risk, controls, testing, fraud response, and regulatory assurance across Securities Operations with an accent on risk-based assessments, control effectiveness, and remediation governance. Focus on maintaining risk and control matrices, overseeing business and third-party testing, coordinating compliance findings, and leading fraud investigation protocols.
Location: Hybrid in Duluth, GA, United States
Salary: $120,000–$140,000 per year
Company
provides financial services and operates Securities Operations functions supported by risk, compliance, and control programs.
What you will do
- Develop and maintain the ISP risk register and control matrix, mapping operational risks to controls and identifying design weaknesses and control gaps.
- Oversee business assessment testing, process walkthroughs, data-driven testing enhancements, root cause analysis, and risk reporting.
- Coordinate third-party onsite reviews and maintain comprehensive risk-based documentation.
- Serve as the risk management contact for Compliance Monitoring & Testing, coordinating findings, remediation plans, risk acceptance decisions, and issue escalation.
- Lead the ISP fraud operations program, including investigation protocols, governance standards, escalation thresholds, and coordination with cybersecurity and privacy teams.
- Prepare documentation for internal audits, regulatory examinations, and independent reviews while managing evidence requests and response deadlines.
Requirements
- 5+ years of managerial experience and experience overseeing a team of approximately eight people.
- Securities licenses such as Series 6/26 or equivalent.
- Deep understanding of risk management and quality control testing methodologies.
- Experience with regulatory requirements, compliance monitoring, control assessments, remediation, and audit preparation.
- Ability to perform risk analysis, root cause analysis, process walkthroughs, and control effectiveness evaluations.
- Must work in a hybrid arrangement in Duluth, Georgia; visa sponsorship is not available now or in the future.
Culture & Benefits
- Day-one health, dental, and vision insurance.
- 401(k) plan with an employer match.
- Vacation, sick, holiday, and volunteer time off.
- Life and disability insurance, flexible spending account, and health savings account.
- Professional development and tuition reimbursement.
- Company-sponsored social and philanthropy events.
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