Risk & Controls Project Team Lead
Company: Equiniti
Location: Phoenix
Posted on: May 3, 2024
Job Description:
Management LevelGEquiniti is a leading international provider of
shareholder, pension, remediation, and credit technology. With over
6000 employees, it supports 37 million people in 120 countries.EQ
US is a leading provider of ownership data management, analytics
and advisory services to public and private companies as well as
corporate issuers and mutual funds. EQ offers a comprehensive
product set, including transfer agency services, cap table
management, equity compensation services, proxy solicitation and
advisory services, private company solutions and bankruptcy claims
administration services. Affiliates include, D.F. King and Co.,
Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano
& Company, Inc. Learn more at: www.equiniti.com/usEQ's vision is to
be the leading global share registrar, offering complementary
services to its client base and our values set the core foundations
to our success. We are TRUSTED to deliver on our commitments,
COMMERCIAL in building long term value, COLLABORATIVE in our
approach and we IMPROVE by continually enhancing our skills and
services. There has never been a better time to join EQ.The
Business Risk & Controls ('BRC') team is a specialist First Line
team operating within the Equiniti US Shareholder Services
division. This team is responsible for the oversight and
implementation of the group risk & control framework. Working in
close collaboration with the products/business line along with
other complimenting Business Risk & Control teams, this group is
responsible for governance and overall oversight of the control
landscape and strategy for the Division (risk identification, risk
assessment, risk measurement, risk mitigation, control design,
control operations, read-across implications to enhance controls,
controls testing program, and key controls oversight in the system
of record). This group will ensure best practices are adhered and
implemented in collaboration with the 2nd and 3rd Lines of
Defense.The BRC team closely aligns with the businesses for
enterprise-wide risk framework activities including RCSA/PRCSA
(top-down and bottom-up), risk appetite monitoring, lifecycle
oversight of operational incidents, ongoing monitoring/reporting of
existing and emerging risks, operational risk and control framework
activities including design, implementation, ongoing
monitoring/reporting, and testing/validation of controls. This is a
rapidly evolving area of our business, in a changing environment,
which is both challenging and demanding.We are looking for an
accomplished and seasoned applicant with equivalent work
experience, supplemented with wider financial business and product
knowledge from other roles, to be a part of the BRC Risk & Controls
function for the Division.***This is a temporary role, slated to
last 6-12 months***Core Duties/Responsibilities The successful
candidate will be responsible for the following:
- Program manage divisional efforts for developing a baseline of
Process, Risk & Control deliverables for assigned
business/divisional functions through workshop sessions or other
methods of data collection and verification.
- Lead and direct an offshore team of process, risk and control
analysts to support the creation of process maps, risk inventory,
controls inventory and PRCSA (Process Risk & Controls
Self-Assessments) deliverables in close collaboration with the
Business Risk & Control Directors.
- Lead efforts to identify and facilitate process mapping
leveraging BPMN 2.0 protocol, developing a baseline inventory of
process maps.
- Lead efforts to identify and assess Risks including but not
limited to Risk Identification, Risk Assessments, Risk Measurement
and Risk Mitigation among other topics.
- Lead efforts to identify Controls including but not limited to
controls identification, documentation and design standards
assessments among other controls related topics.
- Support management in identifying and proposing risk mitigating
actions resulting from internal processes, people, systems or
external events to inform the controls framework and identifying
remediation/prevention measures.
- In collaboration with the business, initiate and oversee the
completion of a divisional RCSA and/or a process-level PRCSA
processes to identify residual risk levels, proposing remedial
actions where required.
- Question the status quo and identify issues and
improvements.Skills, Capabilities and Attributes The successful
candidate will demonstrate the following experience, skills and
behaviors:
- 5+ years in the Financial Services industry, with previous
experience in a Risk and/or Controls discipline (e.g., Internal
Audit, Compliance, Operational Risk, Controls)
- Ability to build/contribute to a team and lead an organization
of control specialists.
- Detailed understanding of key concepts in risk management
(RCSA, Risk Identification, Risk Appetite & Profiling, Risk
Metrics, etc.), and in control design, enhancement, implementation,
testing and reporting.
- Experience in performing detailed risk reviews, risk
evaluations and determining areas of improvement in concert with
the Controls and Policy & Training teams.
- Demonstrated experience in being proactive to managing and
addressing risks and control gaps at a first line level.
- Ability to work across different types of businesses and second
line functions including but not limited to Legal, Compliance,
Risk, etc.
- Delivery focused - proven ability to optimally drive projects /
reviews / tasks to completion at a high standard.
- Ability to manage multiple priorities and deliver to
established timeframes.
- Excellent verbal and writing skills - candidate will be
expected to articulate complex control issues in a structured,
concise, and effective manner.
- Ability to engage and influence with proficient interpersonal
skills.
- Astute problem solver with solid analytical skills who is
competent with Microsoft Office with above average expertise in
Excel and PowerPoint is necessary.
- Outstanding written and verbal communication skills with an eye
for accuracy and consistency, excellent grammar, composition, and
proofreading skills
- Excellent organizational and project management
skills.Compensation
- $45.00 per hourEqual Opportunity StatementWe are an equal
opportunity employer and make employment decisions without regard
to race, creed, religion, national origin, sex (including
pregnancy, gender identity, and sexual orientation), parental
status, marital status, national origin, age, disability, family
medical history or genetic information, political affiliation,
military service, status with regard to public assistance, or any
other characteristic protected under federal, state, or applicable
local law.
Keywords: Equiniti, Avondale , Risk & Controls Project Team Lead, Other , Phoenix, Arizona
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