Operational Risk & Internal Controls Specialist

We are seeking a detail-oriented and proactive Operational Risk & Internal Control Analyst to join our team supporting mainly broker-dealer operations. This role is key in ensuring robust risk management practices through process mapping, control testing, incident analysis, and remediation tracking. The ideal candidate will have a strong understanding of broker-dealer US regulatory frameworks and operational workflows.

Key Responsibilities

• Process Mapping & Control Design Document and analyze end-to-end operational processes across trading, clearing, settlement, client onboarding, and compliance functions. Identify control points, risk exposures, and process inefficiencies. Collaborate with business units to design and enhance internal controls aligned with FINRA, SEC, and other regulatory requirements.
• Periodic Control Testing Develop and execute periodic control testing plans to assess effectiveness and adherence. Maintain testing documentation and report findings to senior management. Recommend improvements and track implementation of control enhancements.
• Operational Incident Review Investigate operational incidents, trade breaks, reconciliation issues, and compliance breaches. Conduct root cause analysis and assess control failures or gaps. Prepare incident reports and escalate material issues as needed.
• Action Plan Follow-Up Monitor and track remediation plans resulting from incidents, audits, or control testing. Ensure timely and effective resolution of identified issues. Provide regular updates to stakeholders and contribute to risk dashboards.
  
  

Qualifications

• Bachelor’s degree in Finance, Accounting, Business, or related field
• 3–5 years of experience in operational risk, internal controls within a broker-dealer or financial services firm
• Familiarity with FINRA, SEC, and other broker-dealer regulatory frameworks
• Experience with process mapping tools (e.g., Visio, Drawio) and control testing methodologies.
• Knowledge of trading systems, clearing platforms, and middle/back-office operations
• Ability to work independently and manage multiple priorities in a fast-paced environment
  
  

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