Strategic Staffing Solutions
STRATEGIC STAFFING SOLUTIONS HAS AN OPENING!
This is a Contract Opportunity with our company that MUST be worked on a W2 Only. No C2C eligibility for this position. Visa Sponsorship is Available! The details are below.
“Beware of scams. S3 never asks for money during its onboarding process.”
Job Title: Risk and Controls Consultant
Contract: 6+ Months
Hybrid Work (3 days on site a week)
Location: New York, NY 10001
Job ref# 241231
Job Description:
- Consult on complex initiatives with broad impact and large-scale planning for Business Execution. Review and analyze complex multi-faceted, larger scale, or longer-term Business Execution challenges that require in-depth evaluation of multiple factors including intangibles or unprecedented factors. Contribute to the resolution of complex and multi-faceted situations requiring solid understanding of the function, policies, procedures, and compliance requirements that meet deliverables. Strategically collaborate and consult with client personnel.
- This contractor will be working to develop and implement a supervision framework and escalation infrastructure to ensure oversight of market conduct risks across CIB. They will be responsible for partnering with business group to develop and maintain a strong control environment leading to the early identification and sustainable mitigation of operational risk. They will be responsible for risk Identification & assessment, control design & evaluation, issues & control deficiencies.
Required Qualifications:
- 5+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work or consulting experience, training, military experience, education.
- Experience with FINRA regulatory rules, including but not limited to: licensing requirements and Residential Supervisory Location (RSL)
- Experience in designing controls including articulating business requirements
- Experience in execution of controls including documentation, governance, and metrics reporting
- Process definition and documentation experience associated with controls and procedures
- Advanced Microsoft Office (Word, Excel (pivot tables, vlookups, writing formulas is nice), Outlook and PowerPoint) skills
Duties:
- Setting up processes related to residential supervisory location
- Track NRAP population and build out monthly, annual, global review processes related to tracking that population
- Contribute to the expansion of risk controls they are currently run manually
- Set up process to centralize notifications for Restricted duties and licenses completion
- Ensuring adherence to regulatory guidelines
- Partner with 2LoD Compliance to execute Market Conduct & Supervision related policies, procedures, and associated governance routines
- Generate ad-hoc reports and materials for senior leadership to communicate control outcomes and other key metrics, KRIs and KPIs
- NRAP = non-registered associated person
Job ID: JOB-241231
Publish Date: 25 Apr 2025