Operational Risk Analyst Job
Operational Risk Analyst (Job Number: 1313772)
Description
The Operational Risk Analyst is responsible for the oversight of Managed Investments and Lockwood Advisors operational controls. This individual will be responsible for the analysis of operational risks and controls. The Operational Risk Analyst position will actively participate in the review and implementation on operational best practices. Development and implementation of oversight reports associated with high risk/financial processes. Monitor key risk indicators. Liaison with operational departments to identify risk based gaps. Maintain WSP matrix and supervisory records. Oversee of books and records retention requirements. Participate in department projects and initiatives. Review operational department policies and procedures. Recommend updates to policies and procedures as well as written supervisory procedures.
Qualifications
3-5 years of financial industry experience, preferably with managed accounts
FINRA Series 7, Series 24 and Series 63/66 licensing preferred
Ability to obtain FINRA Series 7, Series 24 and Series 66 licensing within 6 months
Experience in compliance and regulatory oversight a plus
Strong verbal communication abilities with regard to investments
Ability to multi-task while maintaining a high-level of detail
Proficiency with Microsoft Excel and Security APL preferred
Knowledge of Pershing Net Exchange Pro and Lockwood Web-Based Proposal system a plus
Primary Location: King of Prussia, PA, US
Internal Jobcode: 27390
Job: Audit/Compliance/Risk
Organization:
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