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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in Enterprise Risk Management, including risk assessment, incident response, and compliance with regulatory requirements. Proficient in collaborating with stakeholders and managing multiple initiatives while ensuring effective communication and organizational performance.
Highest-signal resume keywords
Enterprise Risk ManagementIncident Response ManagementInternal Controls KnowledgeAnalytical Problem SolvingRegulatory Compliance Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk AssessmentIncident TrackingData ProtectionProcess ImprovementAudit CoordinationBusiness Continuity PlanningAccess CertificationPerformance MonitoringRisk MitigationCorporate Governance
Soft Skills
Interpersonal CommunicationOrganizational SkillsCollaborationDetail-OrientedMultitasking
Industry Keywords
Financial ServicesBroker-DealerInvestment AdvisorTransfer AgencyRisk Management FrameworksRegulatory RequirementsInternal AuditsPrivacy ProgramStakeholder EngagementIncident Triage
About the role
Key responsibilities & impact- Contribute to and provide oversight of Enterprise Risk Management programs
- Proactively identify, assess, monitor, and mitigate organizational risk
- Support program execution and collaborate with leaders to maintain clear risk visibility
- Monitor effective performance of key controls and track improvement opportunities to completion
- Coordinate and support internal and external audits and risk assessments
- Support disaster recovery, business continuity, access certification, and incident triage and response programs
- Manage the incident response program, including incident response meetings, incident tracking, reporting, trending, and analysis
- Triage reported incidents, challenge timelines and root causes, and recommend preventative action or escalation
- Identify thematic issues and conduct or plan deep-dive assessments of processes, risks, and controls
- Assist with internal risk assessments at entity, department, and project levels
- Coordinate updates to the corporate privacy program
- Evaluate escalated privacy incidents and coordinate communications and responses to impacted parties and regulatory bodies
- Review communications blocked by security tools and coordinate required tool-configuration updates
- Assist with Enterprise Risk and Ascensus projects, platform changes, and process improvement initiatives
- Coordinate updates for senior leaders and stakeholders, including monthly cross-functional risk and governance meetings
- Manage Ascensus access reviews and exception-handling processes
- Protect, secure, and properly handle confidential Ascensus data
- Perform other assigned tasks and projects
Requirements
What you’ll need- Minimum of 2 to 4 years of financial service experience, preferably within risk management, audit, compliance, or transfer agency, broker-dealer or investment advisor functions
- Strong and proven analytical, problem solving, and organizational skills
- Demonstrated ability to work effectively with senior management and across all levels and functions of an organization
- Knowledge of internal controls, processes, corporate governance, or enterprise risk management
- Ability to handle routine multitasking and complex, unplanned issues while adhering to aggressive deadlines for multiple initiatives
- Ability to independently research issues, gather evidence, and collaborate with subject matter experts and teams
- Excellent interpersonal and communication skills, including interaction with stakeholders at all levels, internal and external
- Ability to identify process improvements and turn recommendations into actions
- Ability to manage multiple tasks and deadlines with limited supervision
- Detail-oriented and PC proficient
- Knowledge of industry-accepted risk management and risk assessment frameworks (preferred)
- Experience with investment advisor, broker-dealer, and transfer agency regulatory requirements (preferred)
- Experience working with internal and external auditors (preferred)
- For virtual remote positions, ability to maintain an uninterrupted workspace and meet internet speed requirements of 25 Mbps or better
Benefits
Comp & perks- Full-time employment
- Virtual remote-work arrangement, where applicable
- Uninterrupted virtual workspace requirement
- Family care expected to be in place during business hours
- Internet work speed of 25 Mbps or better for individual use
- Equal Opportunity Employer