pemberton - Associate / Associate Director, Operational Risk and Control (FTC - 6 Months)
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Requirements
• Ideally 6+ years’ exposure to Operational risk in financial services preferably including experience in private finance and/or asset management. • Strong experience in Operational Risk methodologies and their deployment through guidance and training, including but not limited to: • Risk Identification and Risk Event management • Risk and Control Self-Assessment • Control assurance • Risk Issue and Action Management • Risk Reporting and Monitoring • Control Assurance experience (design and effectiveness) • Experience in supporting or leading agile change initiatives. • Strong stakeholder engagement with track record of influencing change. • Fluent in English and able to communicate effectively in a global organisation. • Strong IT skills, particularly with Microsoft Office (Excel, Word, Outlook) and document management systems such as SharePoint. • Strong organisational skills and attention to detail.
Responsibilities
• Control Report – ISAE3402 Type 1 and Type 1 Support • Assist in the design and execution of the Control assurance report for our investors, including gathering and aligning relevant key risk/control data, developing robust evidence log, providing guidance and challenge to business owners, and supporting the development of Management assertions. • Help maintain and update assurance logs and follow up on outstanding actions. • Risk Oversight and Remediation • Monitoring and reporting of key risk remediation progress. • Support risk and control design and effectiveness reviews of inherent high-risk processes. • Third party risk management continual improvements. • Risk and Control Data • Beyond ISAE3402 support maturity initiatives in aligning all risk and control data for Risk events (errors), Assessments, Third party risks, and Operational Resilience against common taxonomies. • Support design and development of GRC (Risk and control system) capabilities. • Operational Risk Framework • Continual development of operational risk guidance and education e.g. RCSA, Change Risk and Risk Issue approaches. • Control Assurance methodologies for ISAE3402 embedding. • Support the implementation and updating of related Risk management policies and procedures as directed e.g. Risk Appetite, KRI development. • Support the production of Risk reports. • Help coordinate responses to internal and external audit requests. • In performing regulated and unregulated activities for the firm, the Operational Risk and Control AD will follow the firm’s conduct rules: • Act with integrity. • Act with due care, skill, and diligence. • Open and cooperative with the regulators. • Pay due regard to the interests of customers and treat them fairly. • Observe proper standards of market conduct. • Ensure all Compliance activity takes into consideration ESG factors to maximise corporate sustainability and support the firm’s diversity and inclusion objectives. • PERSON SPECIFICATION • Good communication skills, both written and verbal. • Willingness to learn and develop compliance knowledge. • Collaborative, proactive, and able to work effectively as part of a team. • Appetite and/or ability to learn and deploy AI opportunities across Operational Risk processes • Everyone at Pemberton strives to and identifies with the following: • Builds trust and credibility. • Is polite, respectful, collaborative, with a strong service ethic. • Plans and prioritises effectively but is flexible and can work with complexity and ambiguity. • Identifies key issues and provides optimal, evidence-based solutions. • Is determined and resilient. • Brings innovative and transformational thinking. • Demonstrates a risk and compliance mindset. • Pemberton is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, colour, religion or belief, sex, gender, gender identity or expression, sexual orientation, age, disability, national origin, ancestry, citizenship status, marital or civil partnership status, pregnancy or maternity, veteran or military status, genetic information, or any other characteristic protected by applicable law. We value diversity and are dedicated to creating an inclusive environment for all employees. • This policy applies to all terms and conditions of employment, including recruitment, hiring, placement, promotion, transfer, termination, compensation, benefits, training, and development. Pemberton is also committed to making reasonable adjustments to accommodate the needs of disabled employees and applicants. All employees, managers, and those involved in recruitment or employment decisions are required to comply with this policy. • If you need a reasonable accommodation to complete your application, please contact People and Performance at [email protected] • Depending on the position, you may be required to obtain certain regulatory licenses/certification if you are in a client facing role and/or if you are engaged in the following non exhaustive list: • Attending client meetings where you are discussing products and/or and client questions; and • Marketing funds to clients. • Note: Please speak with your Pemberton Recruiting contact with any questions.
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