Controls Risk Senior Analyst – Asset Manager

My client is a is a market-leading investment management firm based in the Dublin City Centre and they are currently growing and seeking a Controls Risk Senior Analyst to join their team.

The Purpose of this role is to undertake the annual assurance process and assessing Front Office controls for operational effectiveness.

Key Responsibilities:

  • Conduct detailed control testing activities to assess the effectiveness of controls within the Front Office. Undertake detailed analysis of business processes and interrogation of the underlying trading and investment data to understand the control operation and effectiveness and document findings
  • Manage and maintain the Risk and Control Self-Assessment (RCSA) process by liaising with Senior Management to ensure the accuracy of this information. Disseminate any output across the organisation working with and other Business Leaders and governance committees.
  • Working with and other Business Leaders and governance committees. Work closely with Investment teams to understand their processes and control environment. Communicate effectively with stakeholders to gather information, address inquiries, and provide insights from control testing.
  • Provide reporting to the Investment Business making recommendations as to improve and evolve the control environment and implement improved risk mitigation processes. Thus, enabling enhanced business operation and regulatory compliance.
  • Collaborate with teams to identify opportunities for enhancing control processes based on testing outcomes. Support the implementation of improvements to strengthen the overall control environment.
  • Maintain comprehensive documentation of control testing procedures, results, and any remediation plans. Prepare clear and concise reports summarising testing outcomes, issues, and recommended actions.
  • Monitor the progress of the Controls Assurance workload and escalate issues arising.
  • Stay informed about regulatory changes impacting the Front Office. Ensure that controls align with global and local financial regulations and industry best practices

Experience:

  • Bachelor’s degree in finance, business, or a related field. Advanced degree or professional certifications
  • In-depth knowledge of controls assurance principles, risk management, and internal control frameworks within the asset management industry
  • Good understanding of the investment process, financial instruments and asset management.
  • Previous experience in controls assurance, audit, or a related field is desirable but not mandatory.
  • Comfortable engaging with various teams and stakeholders at all levels of a business.
  • Experience in planning and managing projects, set priorities, and meet deadlines.

If you are interested in a more in-depth and confidentiality chat, call Louise now on 01 676 0505 and click apply below.

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Tagged as: Controls, Controls Assurance, Financial Services, Front Office, Operational Risk, RCSA, Risk and Control Self Assessment, Risk Management

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