Operational Risk & Internal Controls Specialist
Operational Risk & Internal Controls Specialist
Operational Risk & Internal Controls Specialist
BTG Pactual Europe
The Operational Risk & Internal Controls Associate Director role involves ensuring robust risk management practices within broker-dealer operations. The position focuses on process mapping, control testing, incident analysis, and remediation tracking, requiring a strong understanding of US regulatory frameworks and operational workflows.
Qualification
- Bachelor’s degree in Finance, Accounting, Business, or related field
- 3–5 years of experience in operational risk, internal controls within a broker-dealer or financial services firm
- Familiarity with FINRA, SEC, and other broker-dealer regulatory frameworks
- Experience with process mapping tools (e.g., Visio, Drawio) and control testing methodologies
- Knowledge of trading systems, clearing platforms, and middle/back-office operations
Responsibility
- Document and analyze end-to-end operational processes across trading, clearing, settlement, client onboarding, and compliance functions.
- Identify control points, risk exposures, and process inefficiencies.
- Collaborate with business units to design and enhance internal controls aligned with FINRA, SEC, and other regulatory requirements.
- Develop and execute periodic control testing plans to assess effectiveness and adherence.
- Investigate operational incidents, trade breaks, reconciliation issues, and compliance breaches.
- Conduct root cause analysis and assess control failures or gaps.
- Monitor and track remediation plans resulting from incidents, audits, or control testing.
