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This role is responsible for the development and implementation of the overall risk strategy and compliance by providing risk insight and operational risk control for the business unit. This position will partner with the second line of defense (ERM, ORM, Compliance, etc.) to ensure that all practices and services are in compliance with applicable laws and regulations domestically and internationally. This person is also responsible for building the culture of a well-managed organization in line with guidance from ERM and ORM. Responsibilities include execution and management of business line procedures, business unit training program; execution of a robust controls testing program; and risk identification and remediation program for self-identified, internal and external issues in keeping with corporate tools and methodologies.
Specific responsibilities include :
Leads the implementation and ongoing oversight of the enterprise first line of defense framework for bank operations business units
Identifies and monitors timely emerging risks and escalates through the appropriate channels. Single point of contact for second line and third line functions
Provide expert support and advice to the business on risk identification and issue management
Assist in the facilitation of risk assessments for business units within Global Operations as directed by the second line of defense
Identify/provide tools to guide creation and maintenance of controls
Proactively develop compliance and operational processes that effectively mitigate risk
Manage master project schedule related to business unit audits, reporting, findings/recommendations, corrective actions, and changes. When necessary, liaise between the business unit and auditors or examiners
Work with managers across various business unit functions to resolve risk issues as appropriate
Facilitate cross functional teams, facilitate project meetings, develop and maintain project plans and manage/support solution implementations
Manage audit process, including coordinating with business unit team members, external auditors, consultants and the internal compliance / Audit team
Ensure risk issues and corresponding action items are effectively remediated and evidenced
Work closely with Operational Risk personnel on both the Risk Assessments and Risk Issues
Report accurate and timely information as it relates to compliance and risk responsibilities
Partners with business unit managers to ensure all process and procedure documents are complete and accurate
Coordinate and support process/control owners in maintenance of required compliance documentation as well as internal control practices.
Conduct risk management/compliance training as needed
Manage and/or support other special projects, initiatives, as needed
Bachelor's degree required and a minimum of 3-5 years of relevant risk management experience
Direct experience working in a first or second line risk role within a financial institution
Operations background with experience in Loan/Internal Banking operations preferred
Working knowledge of banking regulations within risk management and bank-operations related disciplines
Strong expertise with MS Office including Word, Excel, PowerPoint, and Visio as well as Adobe. Experience with GRC tools a plus.
Dedicated team player
Excellent interpersonal, communication, and organizational skills
Demonstrated project management, analytical, and problem-solving skills
Ability to collaborate, negotiate, influence, and build consensus across the organization