Risk Controls Tester

• Evaluate and monitor the performance of operational controls across various lines of business within market operations
• Conduct regular control testing to ensure compliance with established frameworks and regulatory standards
• Review and assess the effectiveness of risk mitigation procedures and identify areas for improvement
• Collaborate with stakeholders to design and document testing scripts and procedures
• Analyze trade lifecycles, including booking, confirmation, and settlement, to identify potential risks
• Lead calls and meetings to communicate findings and recommendations effectively
• Manage high-pressure situations and multiple projects to meet tight deadlines
• Utilize tools like Alteryx and Excel to analyze large datasets and extract meaningful insights
• Develop and present comprehensive reports to executive stakeholders, demonstrating strong oral and written communication skills
• Partner with cross-functional teams to enhance operational controls and mitigate potential risks

• Proven experience in risk management within the financial services or banking industry
• Strong familiarity with control testing processes and risk mitigation frameworks
• Knowledge of front office and back office operations in banking, including trade lifecycles
• Proficiency in tools such as Alteryx and Excel for data analysis
• Solid understanding of SOX compliance and corporate internal audit practices
• Exceptional communication skills, both oral and written, with an ability to influence and collaborate effectively
• Ability to handle complex projects and manage stakeholder relationships under high-pressure environments

FINRA Series 7 certification is highly desirable

• medical, vision, dental, and life and disability insurance
• eligible to enroll in our company 401(k) plan