- Bank of America
- $113,520.00 -113,520.00/year*
Financial Services - Banking/Investment/Finance
2355 River St
The 'SCTO' Securities Core Trading Operations Risk & QA team provide independent assessment / monitoring of risk and control issues across Core Operations. Responsibilities include:. Providing quality assurance and control over Securities Core Operations key controls and High Risk Processes. Providing an independent assessment of control and risk issues for SCTO Leadership team, Equities business & outside Risk organizations. Collating and analyzing risk data including; High Risk Process metrics, Risk and Control Self-Assessment (RCSA) Go to Green plans, Operational Losses, Regulatory submissions, Audit Status reporting. Working with SCTO Operations line management to strengthen the control environment and improve control culture & practices.. Embedding a risk & governance culture across all lines of business.. Providing an oversight responsibility across regulatory processes. The Operations Risk & Control Analyst will be aligned to Settlements, Trades processing & Canada Branch office and will be responsible for:. Act as the day-to-day Risk Analyst providing guidance for all issues that arise. Perform a monthly independent risk assessment based on key risk and environmental risk. Set risk appetite and risk scoring. Present findings and opinions to senior management. Assist the LOB with development of control policies and procedures. Assist LOB in developing Self-identified audit issues 'SIAI' and coordination of tollgates with Corporate Audit. Provide independent assessment, validation of evidence & issue closure.. Document and reporting Ops Losses and near miss data. Understand root cause, make recommendations for improvements to operational processes and facilitate any changes. Provide regular updates for the Equities RCSA program with ongoing governance of associated go to green plans & alignment of new issues. Assist the LOB with enhancements to the PRC inventory and procedures. Present regular programed updates to stakeholders & input into Risk Governance packs.. Collate process control documentation from the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur.. Assist in the identification of Quality Assurance routines, testing or Metrics per HRP. Review KPI & KRI data, ensuring sufficient narrative is provided for any threshold breaches & provide summaries or escalation (as required) for Governance reporting across Operations. Attend weekly control meetings to review and action control breaks and issues.. Working with Operations line management to strengthen the control environment and improve control culture & practices.. Coordinating self-assessments / attestations to ensure timeliness and completeness as well as monitor any remediation required. Provide qualitative and quantitative analysis on risk issues and events to Operations leadership team to drive risk-based decisions to strengthen control environment. Required Skills:. 3+ years or more industry experience and or/ similar role. Experience in Securities. Strong understanding of Global Banking and Markets. Strong sense of teamwork and collaboration. Critical thinking, creativity, and problem solving skills with aptitude and ability to adjust to a dynamic technological environment. Highest degree of integrity / ethical standards and sound judgment. Commitment to delivering excellence. Intellectual curiosity, passion, and self-motivation. Risk management awareness. Experience with MS Office Suite - especially MS Outlook, MS Word, MS Excel. Bank of America Corporation is a bank holding company. Through its banking subsidiaries (the Banks) and various non-banking subsidiaries ...
Associated topics: broker, fiduciary, financial, fund, invest, nasdaq, purchase, securities broker, security, stock
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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