We have been engaged to identify an Operational Risk Associate for one of America’s most respected financial services companies. This organization has received many accolades, including Top Private Bank in the U.S., and has been growing 20% year-over-year. This position is based in San Francisco, CA (post-Covid).
In this (First Line of Defense) role, you will leverage your background in Audit and/or Internal Controls testing to learn all aspects of the Private Wealth Management (PWM) business. You will work closely with your Manager to identify operational risk across the organization and to perform first-line control testing and validation. You will work closely with the Enterprise Risk Management group, and you will learn to perform the Risk Control Assessment Process (RCSA). From there, there are myriad career path options in this rapidly growing organization.
This is a great opportunity for someone in with a foundation in Public Accounting or Internal Audit to transition into a Risk role in First Line of Defense for an Outstanding Company.
What makes this position special?
- Very strong growth trajectory! Company has quintupled in size in the past ten years!
- Outstanding reputation – organization has been recognized as best in class by several publications
- Great visibility: opportunity to build relationships and your brand throughout the enterprise; great career path opportunities
- Opportunity to learn all facets of the Private Wealth Management LOB
- Highly collaborative team environment
- High integrity organization and culture that cares about its employees
- Great SF location (post-Covid); right off Embarcadero BART
- No travel!
What would make you a great fit?
- Bachelor’s degree
- CIA, CPA, CRMA, CRISC, Series 7, or other relevant certification a plus
- 1-4 years’ experience in Controls Testing (Big 4 experience highly valued); ideally with experience beyond SOX testing
- Experience with Private Wealth Management and/or Brokerage would be a big plus
- Financial services experience (or focus on fin services Public/Consulting), preferred
- Solid grounding in auditing/testing concepts and methodology; experience with risk-based Audit, a plus
- Interest in developing a career in Risk Management a plus!
- Ability to work independently
- Experience with MS Suite products, Visio experience a plus
- Mental agility and ability to learn new areas/concepts, a big plus
- Positive attitude and demeanor
- Strong communication skills (both oral and written)
- Excellent team player, and collaborative personality