About This Role
This role helps shape how a leading investments business manages operational and compliance risk. You will strengthen controls, advise on strategic change, and help teams make sound, well-informed decisions. The position involves working across business and control partners to improve how risks are identified, monitored, and remediated, offering meaningful impact to those who enjoy constructive challenge and influencing outcomes.
Responsibilities
- Partner with leaders and stakeholders across legal, compliance, risk, operations, technology, and internal audit to understand strategies, investment products, and end-to-end processes
- Assess operational and compliance risks and advise on practical, sustainable controls for ongoing processes and business changes
- Provide constructive challenge to strategic initiatives and support decision-making with clear risk and control perspectives
- Identify emerging risks, gaps, and trends and escalate concerns with recommended actions and timelines
- Build governance and monitoring insights using analytics, automation, and artificial intelligence capabilities
- Coordinate regulatory exams, internal audit reviews, and compliance engagements, including readiness planning and response management
- Support new business initiatives by identifying risks and confirming procedures, controls, training, and readiness needs for product launches
- Support control assessments and testing by providing subject matter expertise and partnering with independent testing teams
- Guide issue management and remediation by helping identify root causes, define action plans and milestones, and track progress to closure
Requirements
- Minimum 7 years of experience in an investments-related business or function (for example: control management, internal audit, compliance, or project/program management within a risk discipline)
- Bachelor's degree or equivalent work experience
- Experience assessing and documenting risks and controls across end-to-end processes
- Experience advising on business changes or strategic initiatives with a focus on control design and sustainability
- Experience identifying, escalating, and tracking risk and control gaps through defined governance or issue management processes
- Experience coordinating regulatory exams, audits, or compliance reviews, including managing information requests and responses
- Experience performing root cause analysis and developing remediation plans with milestones and ownership
- Experience building clear, concise written materials and presenting to senior stakeholders and control partners
- Experience partnering across multiple functions and influencing outcomes in complex, cross-functional environments
