Job Description

 

  1. RCSA
  2. KPI/ KRI
  3. Operational Risk Management (No Credit, Market and any other risk)
  4. Vendor management
  5. Risk Reporting

 

  • Operations risk concepts – KRI/KPIs, business continuity, risk rating/ RCSA, vendor governance
  • Basic understanding about CASS (Client Money) governance
  • Involved in audits (internal/ external)
  • Risk reporting writing skills and conversing with senior stakeholders
  • Investment management knowledge – Mutual funds, basic process knowledge from an Ops standpoint
  • Only Operational Risk (no credit and market risk)
  • Vendor Management, Asset Management.
  • Control Testing
  • Audit (Internal and External)
  • Can consider candidates from Finance and IB Domain

     

    • The Risk team manages the risk within all Operations line teams and includes risk identification, reporting, mitigation
    • The team is also involved in Audit facilitations, user entitlements reviews, independent assessments, business continuity planning, managing regulatory risks etc.
    • The Risk team also supports regulatory governance and oversight
    • The team provides global support and is based in New York, London and Mumbai

     

    Primary Responsibilities

    Position Description:

    • Risk/3rd party monitoring and reporting for Investment Management Operations. This position would also require the individual to work closely with functional teams in our international offices.

     

    Key Responsibilities:

    Risk & Vendor management:

    • Manage the Risk Identification and Escalation Process
    • Responsible for supporting all vendor governance processes in the management/oversight of service due diligence.
    • Operations Risk Management - Risk monitoring, Tracking, Reporting and Mitigation
    • Periodic functional risk assessments and reporting to Senior Stakeholders
    • Metrics Reporting and Senior Management reporting through data collation and attending meetings as appropriate.
    • System administration and Entitlements review facilitation
    • Business continuity Planning and Information Security Review
    • Liaising for Audits (Internal, SSAE 18, Compliance & SOX), external assessments and Regulatory Exams
    • Facilitate Risk Control Self-Assessments (RCSA), Recovery resolution planning (RRP), Approved exclusions.
    • Involvement in Projects & other related duties as assigned.
    • Drive Risk Program and initiatives globally and regionally.
    • Manage the outsourcing agenda.

     

    Skills required (essential)

    • Graduate/Postgraduate with 4-8 years of relevant experience
    • Ability to lead and drive initiatives independently
    • Strong presentation skills and an ability to report to and manage senior stakeholders
    • Strong verbal and written communication skills
    • Strong attention to detail, quality and accuracy
    • Strong analytical skills and competency in resolving issues of a technical nature.
    • High degree of computer literacy, including working knowledge of Windows-based applications such as Word, Excel and PowerPoint
    • An ability to ‘think outside the box’ and look for creative solutions
    • Demonstrated ability to work effectively in a team-oriented environment
    • Strong drive for continuous improvement

     

    Skills desired

    • Preferable experience in Investment Management Operations, Risk Management, Vendor Management or Audit
    • Relevant prior experience of participating in internal or external audits or exams
    • Relevant prior experience of assessing the root cause of risk incidents and/or identifying/implementing control enhancements