operational risk analyst

Citi

<div>Individuals in Operational Risk manage operational risk policies, standards, propose strategies, and governance processes designed to minimize losses from inadequate controls, fraud, and potential bankruptcy. This includes supervision over Operational Risk categories such as technology, Third party , cyber Processing, Business distribution, Operational resilience and fraud risks. These individuals are also responsible for challenging tools and methodologies that utilized for fraud monitoring and prevention, using advanced analytical and statistical skills to identify gaps and recommend changes to current structure and policies. This role is crucial to the company as it fortifies against potential operational risks, thereby protecting the company's financial stability and reputation, and contributing towards the overall business resilience and success.
Responsibilities:<ul><li>
Support the design and implementation of enterprise operational risk management procedures and methodologies, including effective application within the businesses.</li><li>
Independently assess operational risks in the business to ensure it is within the acceptable risk appetite</li><li>
Collaborate with the business to understand its risk profile, assess operational risk exposure, integrate risk mitigation controls, and monitor adherence.</li><li>
Review and challenge the effectiveness of risk mitigation strategies and control measures implemented by the 1st line of defense</li><li>
Provide regular reporting to senior management and stakeholders on the status of operational risk profile.</li><li>
Analyze data to identify trends or emerging risks and provide timely recommendations to mitigate risk exposure.</li><li>
Lead initiatives to improve operational risk management practices and enhance organizational resilience.</li><li>
Ensure operational risk management activities comply with internal policies, external regulations, and industry standards.</li><li>
Stay abreast of industry best practices and regulatory changes to assess its impact on operational risk management, and advise the business accordingly.</li><li>
Support the execution of remediation with timely and effective outcomes against regulatory expectations.</li><li>
Is an enthusiastic and early adopter of change; takes ownership for helping others see a better future and stay positive during uncertainty.</li><li>
Demonstrates and inspires curiosity in seeking new ways to overcome challenges; actively applies learning from failures.</li><li>
Challenges self and others to seek out and communicate alternative views even when unpopular; welcomes diverse ideas to improve outcomes.</li><li>
Acts as a change catalyst by identifying and helping others see where new ideas could benefit the organization.</li><li>
Proactively seeks to understand and act in alignment with organizational decisions; helps others prioritize team and enterprise success over their own personal agenda</li><li>
Focuses on highest-priority work aligned to business goals; helps others effectively manage competing priorities.</li><li>
Proactively identifies opportunities to streamline work; creates process improvements that enhance efficiency for self and the team.</li><li>
Takes personal accountability for escalating, identifying, and managing potential risk; implements controls that enhance the client experience and operational effectiveness.</li><li>
Anticipates problems and proactively identifies solutions that address the root causes and result in meaningful improvements.</li><li>
Sets high expectations and invests the necessary effort to deliver excellence and exceed performance goals.</li><li>
Role-models and helps others to do the right thing for clients and Citi in all situations, even when difficult</li><li>
Engages key stakeholders early and often and actively looks for opportunities to improve collaboration in achieving common goals.</li><li>
Proactively seeks out opportunities to volunteer in Citi programs that support the community; advocates for solutions that meet the needs of Citi&rsquo;s clients and the community.</li><li>
Enthusiastically promotes the unique needs and preferences of colleagues; makes active commitment to help colleagues achieve balance, well-being, and development.</li><li>
Leverages varied networks to recruit diverse talent; advocates for colleagues with diverse skillsets, styles, and experiences to gain career opportunities.</li><li>
Empathetically listens and understands others&rsquo; positions before acting on issues; works to amplify voices that are minimized in the workplace</li><li>
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards</li></ul>
Qualifications:<ul><li>
Minimum 8 years in Banking industry with 3 years on Risk and Control within the business, ORM, Compliance. Internal audit or a similar function</li><li>
Previous experience supporting risk management, compliance, governance, or controls related roles.</li><li>
Demonstrated track record of effectively assessing and managing competing priorities.</li><li>
Deep understanding of operational risk concepts, methodologies, and tools.</li><li>
Familiarity with regulatory requirements related to operational risk management.</li><li>
Exposure to enterprise risk management frameworks and knowledge of risk reporting tools and techniques.</li><li>
Understanding to Operational Risk Regulatory submissions i.e. ICAAP, Recovery Plan and Scenario Analysis.</li><li>
Understanding of different risk types, e.g. credit, market, liquidity.</li><li>
Experience working in a regulated industry (e.g., banking, finance, insurance, healthcare).</li><li>
Ability to interact effectively at all levels, develop strong partnerships across the organization, and present complex information clearly to senior management and stakeholders.</li><li>
Strong influencer with a focus on building relationships with the 1st line, while remaining independent and retaining the ability to challenge effectively.</li><li>
Comfortable in dynamic environments, capable of adapting to change while maintaining focus on risk management objectives.</li><li>
Strong stakeholder management skills, with the ability to understand drivers and overcome barriers.</li><li>
High level of integrity and professionalism, with the ability to handle sensitive and confidential information appropriately.</li><li>
Analytical, with the ability to comprehend complexity and engage strategically, analyzing and interpreting large volumes of data.</li><li>
Professional certifications such as CIA, CISA, or CRMA would be considered as an asset</li></ul>
Education:
Bachelor's/University degree, Master's degree preferred
-
Job Family Group:
Risk Management
-
Job Family:
Operational Risk
-
Time Type:
Full time
-
Most Relevant Skills
Analytical Thinking, Control Monitoring, Credible Challenge, Governance, Issue Management, Operational Risk, Policy and Procedure, Policy and Regulation, Risk Controls and Monitors, Risk Identification and Assessment.
-
Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
-
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law. 
If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. 
 
View Citi&rsquo;s EEO Policy Statement and the Know Your Rights poster.</div>

Operational Risk Lead Analyst

U.S. Bank

<div>At U.S. Bank, we&rsquo;re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at&mdash;all from Day One.<h2 class="jobSectionHeader">
Job Description</h2><div>
U.S. Bank is seeking an Operational Risk Review (ORR) Technology Manager (&quot;Manager&quot;) responsible for leading a team of Lead Analyst(s) and Analyst(s) (collectively &ldquo;Analysts&rdquo;) in the administration and execution of review activities within Independent Risk Review and Assessment (IRRA), a centralized second line of defense independent review function. This role offers an exciting opportunity to drive the continued growth, enhancement, and delivery of IRRA&rsquo;s ORR program. 
 
ORR provides risk-based review and effective challenge of the Company's operational risk (inclusive of technology risk), and operational risk-related processes and controls associated with the products and services offered across all business lines and enabling functions. Based on the Company's enterprise risk taxonomy, in-scope operational risk categories include: Fraud, Operations, People, Security of Physical Assets, Third Party, Business Resiliency, Systems, Cyber/Information Security, Legal, Model, Conduct, Data Management, and Fiduciary. Objective risk mitigation, process, and control review activities include planning and scoping, design and execution, reporting and rating, and Issue creation and validation. 
 
Key roles and responsibilities of the ORR Technology Manager include working with business lines and other Risk, Compliance, and Audit professionals across the Company to evaluate processes and controls to ensure an effective risk management framework. The ORR Technology Manager is responsible for directly managing a team of Lead Analyst(s) and Analyst(s), including overseeing review activities, timely completion of planned reviews, conducting performance management, and overall staff development. The Manager leads and oversees projects and activities to confirm compliance with internal policies, industry standards, and applicable laws and regulations related to technology, business resiliency, data governance, cyber, systems, artificial intelligence (AI), and information security. Through review performance, the Manager is responsible for the identification of gaps, weaknesses, and risk exposures within the control and process environment. If gaps are identified, the Manager will partner with the business line and Risk Management groups to recommend and influence solutions to mitigate operational risks. The Manager is responsible will deliver effective verbal and written communication of review results to the ORR Senior Manager, including draft Issues and Reports, and will respond to and/or escalation of significant risks, as appropriate.<div>
Basic Qualifications 
<ul><li>Bachelor's degree, or equivalent work experience</li><li>Typically more than 10 years of applicable experience</li></ul></div>
Preferred Skills/Experience<ul><li>Proven leadership skills.</li><li>Subject Matter Expert or advanced knowledge of technology, business resiliency, systems, data governance, cyber, and information security risks as well as industry trends that impact Bank operations.</li><li>Thorough understanding of risk management standards, the common definition of internal controls, and how control frameworks are designed and operate to mitigate risks.</li><li>Deep understanding of the business line&rsquo;s operations, products, services, systems, and associated risks.</li><li>Deep business acumen and credibility to help business line(s) proactively identify risks and address changing risk landscape.</li><li>Superb process facilitation, project management, and analytical skills with the ability to manage multiple tasks and deadlines simultaneously.</li><li>Excellent presentation, interpersonal, written and verbal communication skills.</li><li>Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations.</li><li>Applicable professional certifications (e.g., CISA, GSNA, CISSP, CRISC, CIA, etc.) are preferred.</li></ul>
This role requires working from a U.S. Bank location three (3) or more days per week.</div>
If there&rsquo;s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members&rsquo; whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:<ul><li>
Healthcare (medical, dental, vision)</li><li>
Basic term and optional term life insurance</li><li>
Short-term and long-term disability</li><li>
Pregnancy disability and parental leave</li><li>
401(k) and employer-funded retirement plan</li><li>
Paid vacation (from two to five weeks depending on salary grade and tenure)</li><li>
Up to 11 paid holiday opportunities</li><li>
Adoption assistance</li><li>
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law</li></ul>
Review our full benefits available by employment status here.
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $133,365.00 - $156,900.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
Posting may be closed earlier due to high volume of applicants.</div>

Operational Risk Review Manager - Technology

Seattle Bank

<div>Description:

Who We Are
Seattle Bank is a locally owned, digitally driven financial institution that provides personal, business and partner banking services. Our experienced team and open API, cloud-based core technology platform, deliver a boutique bank experience for clients with interwoven personal and business financial needs. Our highly configurable and scalable tech stack also supports partner banking that enables companies to embed banking transactions into their customer online experience. Seattle Bank is a wholly owned subsidiary of Seattle Bancshares, Inc., a privately held bank holding company, and the creator of CD Valet, a digital marketplace for Certificates of Deposit.
Position Summary
Seattle Bank&rsquo;s Fintech Risk Analyst plays a crucial role in identifying, assessing, and mitigating risks within the Partner Banking division of the Bank. They analyze information to detect potential threats and vulnerabilities for fintech partners, ensuring compliance with regulatory standards and safeguarding financial transactions. They monitor emerging risks and develop strategies to minimize operational, financial, and cyber risks. This role requires a general understanding of compliance, financial services and technological innovations, enabling the analyst to provide insights that protect the integrity and reliability of fintech products and services. The Analyst will collaborate with cross-functional teams. Additional duties include performing research on state or federal laws. Works closely with the Bank&rsquo;s credit, processing and servicing teams.
This position is located in our downtown Seattle office and requires full-time, in-person work.
Essential Duties<ul><li>
Prepare detailed risk assessments that identify risks related to capital, assets, management, earnings, liquidity, sensitivity, compliance, information technology data security, change controls and idiosyncratic risk</li><li>
Perform testing of new products and services, or modifications to existing ones, and identify any risks, issues or new requirements that may apply</li><li>
Ensure compliance with regulatory requirements and industry standards</li><li>
Perform ongoing monitoring of FinTech Partners and provide insights and recommendations for risk mitigation in complete and concise written reports</li><li>
Use tools to research state and federal laws</li><li>
Update test programs based on emerging risks or new laws</li><li>
Communicate with internal stakeholders</li><li>
Physically attending work on a set and predictable schedule is an essential function of this job</li></ul>
Requirements:
<ul><li>Due to the collaborative nature of this position, it requires daily in-person work. After a 90-day training period, this position allows for one day of work from home each week. No exceptions will be granted.</li><li>
Bachelor&rsquo;s degree in finance, business or related field, or professional certification and/or equivalent experience</li><li>
Minimum 1-3 years of experience in Financial Technology, Regulatory Compliance and/or Risk Management in the financial industry</li><li>
Knowledge of federal banking compliance regulations is preferred</li><li>
Excellent organizational, prioritization, and time management skills</li><li>
Strong verbal, written and interpersonal communication skills</li><li>
Cooperative and professional attitude</li><li>
Ability to consider complex scenarios involving multiple facets and variables in non-standardized situations.</li><li>
Strong critical and creative thinking and analytical skills</li><li>
Demonstrated ability to learn quickly and use technology effectively</li></ul>
Seattle Bank Benefits
We&rsquo;re committed to delivering our promise of peace of mind to our clients and fostering a collaborative, inclusive and supportive workplace for our team members. Our comprehensive benefits program for eligible employees includes:<ul><li>
Medical/Vision, and Dental insurance
</li><li>Life Insurance, Long Term Disability, Voluntary Life
</li><li>401K with Bank contribution, Stock Award, and Incentive Opportunity
</li><li>Paid Time Off:</li><li>
Vacation &ndash; 3 Weeks</li><li>
Sick Time &ndash; 1 hour per 40 hours worked</li><li>
Holidays &ndash; 10 days</li><li>
Transportation and fitness benefits</li><li>
And fun, extra perks such as company social events, paid volunteer hours, quarterly incentive awards, and professional development opportunities.</li></ul></div>

Fintech Risk Analyst

SoFi

<div><div>Employee Applicant Privacy Notice

Who we are:
<div>
Shape a brighter financial future with us.

Together with our members, we're changing the way people think about and interact with personal finance.

We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world.
</div></div>
The role:

The Operational Risk Challenge &amp; Advisory Senior Analyst is a Second Line of Defense (2LOD) role responsible for providing credible challenges in accordance with SoFi's Operational Risk Credible Challenge Standard. Thisrole moves beyond traditional oversight, acting as both a challenger and a strategic advisory partner. You will apply a deep understanding of operational risk to provide informed, independent, and constructive feedback of SoFi's risk-taking activities, ensuring they align with the Company's risk appetite and regulatory expectations. This is a unique opportunity to expand the Senior Analyst's footprint and take on increased responsibility within a critical second line of defense (2LOD) function. The senior analyst will work independently with minimal supervision, using data and a risk-based approach to get to the truth. They'll run after and solve complex problems, helping to proactively address emerging risks and influence strategic decisions. 


What you'll do:
<ul>
<li>Lead and support a diverse set of 2LOD credible challenge activities, including Targeted Reviews, Operational Risk Issue Validations, Risk andControl Self-Assessment (RCSA) reviews, and New Activity Reviews</li>
<li>Serve as a strategic partner to the business, providing consultation on risk mitigation strategies and offering independent insights into emerging risks and new business initiatives</li>
<li>Proactively identify and communicate potential risks to management to gain alignment and ensure effective mitigation</li>
<li>Assist in the continuous improvement of operational risk methodologies and practices, including the development of new approaches</li>
<li>Collaborate with cross-functional partners to drive decisions and progress toward shared goals</li>
<li>Maintain awareness of current regulatory/industry trends impacting the operational risk management program</li>
<li>Maintain familiarity of, and technical expertise with, business unit(s) organizational structure, personnel, activities and products, new product development, financial performance, and risk and problem areas</li></ul> 


What you'll need:
<ul>
<li>Bachelor's degree</li>
<li>5+ years of relevant operational risk credible challenge, regulatory, examination or Internal Audit experience</li>
<li>Understanding of control frameworks, testing methodologies, and risk assessments</li>
<li>Proven ability to work independently with minimal oversight and manage multiple priorities in a fast-paced environment</li>
<li>Excellent analytical and problem-solving skills with a track record of resolving the root causes of complex issues</li>
<li>Highly effective interpersonal and communication skills with the ability to build trust and influence stakeholders</li>
<li>Understanding of risk governance and the second line of defense processes used to review and challenge front line business unit risk management processes</li>
<li>Familiarity with regulatory requirements and industry best practices</li>
<li>Experience in banking and/or fintech industry, including regulatory experience</li>
<li>Data visualization skills</li></ul> 


Nice to have:
<ul>
<li>Tableau data visualization and analysis</li>
<li>Experience working in Google Docs, Sheets and Slides</li>
<li>Advanced degree; relevant industry certifications, for example, CPA, CCRM, ACAMS; Certified Internal Auditor (CIA); ability to drive innovation, new practices; experience interacting with regulators (Federal Reserve, OCC, CFPB)</li>
<li>Multi-lingual (Spanish)</li>
</ul><div><div>Compensation and Benefits</div>
<div>The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location.</div>
<div></div>
<div>To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page!</div>
<h5 class="jobSectionHeader">SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.</h5>
<h5 class="jobSectionHeader">The Company hires the best qualified candidate for the job, without regard to protected characteristics.</h5>
<h5 class="jobSectionHeader">Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.</h5>
<h5 class="jobSectionHeader">New York applicants: Notice of Employee Rights</h5>
<h5 class="jobSectionHeader">SoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com.</h5>
<h5 class="jobSectionHeader">Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.</h5>
<div>Internal Employees</div>
<div>If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.</div></div></div>

Operational Risk Challenge & Advisory Senior Analyst

MUFG

<div>Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world&rsquo;s leading financial groups. Across the globe, we&rsquo;re 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world&rsquo;s most trusted financial group, it&rsquo;s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Job Summary:
The Data Office is on an exciting journey to strengthen the quality, control, and accessibility of risk data enabling business and risk partners to make timely, well-informed decisions. We seek a candidate with risk background, preferably operational risk or compliance risk domain expertise with understanding of how risks are identified, measured, governed, and reported across the organization
This is not a technical or analytics role; instead, it emphasizes business partnership, data clarity, and control effectiveness. The Analyst will work closely with Front Office, Operations, Risk, and Compliance teams to improve the definition, consistency, and quality of risk data used in operational or compliance risk reporting and governance processes. The role will support enhanced transparency, strengthened controls, and consistent interpretation of risk information across stakeholders.
Key Responsibilities<ul><li>
Contribute to the execution of data governance and data management processes by acting as a data and operations analyst for non‑financial risk domains preferably operations and compliance risk.</li><li>
Maintain clear business definitions, usage rules, and ownership for the data</li><li>
Ensure data reflects the true business intent and operating reality of operational risk and compliance risk processes</li><li>
Identify where process gaps, manual workarounds, or inconsistent practices lead to data quality issues</li><li>
Support issue management activities by coordinating partners and assisting with prioritization and resolving data issues</li><li>
Support data quality monitoring, reconciliations, root cause analysis, and issue remediation efforts</li><li>
Increase transparency into how non-financial risk data is sourced, defined and used across the organization</li></ul>
Qualifications<ul><li>
3+ years of experience in risk processes preferably Operational Risk Management, Compliance Monitoring, supporting end‑to‑end business or risk processes within a financial services organization.</li><li>
Strong understanding of non‑financial risk frameworks and processes, including risk identification, assessment, issue management, remediation, and reporting.</li><li>
Hands‑on experience partnering with first line, second line, and control functions (e.g., Business, Risk, Compliance, Audit, Operations) to resolve data, process, or control gaps.</li><li>
Strong written and verbal communication skills, with the ability to translate complex risk and data concepts into clear, business‑friendly language</li><li>
Detail oriented with a strong sense of accountability</li></ul>
Preferred Skills<ul><li>
Exposure to risk data quality, reconciliations, process improvement, or control environments (formal or informal)</li><li>
Demonstrated ability to work across teams and drive change without direct authority</li><li>
Curiosity and passion for improving how data is managed and used</li><li>
Strong attention to detail and sense of accountability, with the ability to follow established processes and escalate questions or issues appropriately</li><li>
Ability to work collaboratively as part of a team, contributing to shared deliverables and supporting cross‑functional partners as needed</li></ul>
What this role is not<ul><li>
Not a quantitative model development role (no expectation to build or validate non-financial-risk models)</li><li>
No coding, modeling, or system development responsibilities</li><li>
No requirement for formal data management experience</li></ul>
The typical base pay range for this role is between $78K - $106K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles&rsquo; Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual&rsquo;s associates or relatives that is protected under applicable federal, state, or local law.</div>

Operational & Compliance Data Analyst

Howden Group

<div>At DUAL North America, our core values dictate how we live and work. We are a group with independence and people at its heart and we are a home for talent with a unique culture: the biggest small company in the world. 
 
The focus on being a People First business has always been at the very heart of the Group; Our vision was to create an independent business with a unique culture and one that would survive and thrive as a business controlled by the people working for it. And finding the most talented and entrepreneurial people to join the Group has been and will continue to be key.
DUAL North America, Inc. is seeking a
Analyst Transactional Risk
Analyst, Transactional Risk<ul><li>Classification: Exempt/Full-time</li><li>Reports to: Senior Vice President, DUAL Transaction Solutions</li><li>Travel: 0-25%</li><li>Salary: $90,000-$100,000</li></ul>
Location: New York City, Hybrid
Role overview
DUAL North America, Inc. is seeking a curious and self-motivated analyst to support the underwriting of policies for mergers and acquisitions (M&amp;A). Private equity and strategic buyers in M&amp;A deals seek policies to protect them from risk on the target companies they acquire.
The analyst would serve underwriters on the team. The team itself has significant exposure to the full gamut of players in the M&amp;A process: attorneys, insurance brokers and financial advisors. A de minimis portion of the role would also support tax underwriters in issuing transactional risk tax policies.
Role responsibilities<ul><li>Draft quotes for policies on prospective M&amp;A deals: With the supervision of an underwriter, analysts review legal agreements and</li></ul>
documents from investment banks and financial advisors. They then<ul><li>File management: Support underwriter during active underwriting process by circulating and preparing relevant documentation and communication.</li><li>Analysis: Review of financial statements, confidential information memoranda from investment banks, legal agreements, and emails from counsel.</li><li>Policy issuance: Monitor outstanding subjectivities on various deals at the same time. Prepare formal documents when subjectivities are satisfied.</li><li>Liaise with brokers and counsel: First point of contact for broker requests on active deals. Communicate counsel opinion to broker for dissemination to deal&rsquo;s buyer.</li><li>Compliance: Assist underwriters in appropriately documenting the underwriting process.</li></ul>
Key requirements<ul><li>Bachelor&rsquo;s degree in risk management, Finance, Business or a related field preferred</li><li>0 &ndash; 1 year underwriter or insurance experience</li><li>Foundational knowledge of insurance principles</li><li>Undergraduate work experience or internships. Interest in mergers and acquisitions is highly desirable.</li><li>Business or insurance knowledge is helpful but not required. No tax knowledge needed.</li><li>Proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint)</li><li>communicate them to underwriter.</li><li>Ability to follow policies and procedures</li><li>Complete assigned tasks correctly, on time and able to learn quickly</li><li>Self-motivated and demonstrating attention to detail</li><li>Be able to work independently for extended periods</li><li>Excellent written and verbal communication skills as well as general business understanding</li><li>Must be able to remain in a stationary position 50% of the time, with occasional movement in the office to access cabinets and equipment</li><li>If you do not meet all the qualifications for this role, we still encourage you to apply, as we are always looking for diverse talent to join our growing team.</li></ul>
What we offer: 
A career that you define. Yes, we offer all the usual rewards and benefits - including medical, dental, vision, a wide variety of wellbeing offers, competitive salary, unlimited PTO, 401k with company match, paid volunteer days and more.
We provide an environment where new ideas are encouraged and celebrated, where people who want to have a real hand in our success thrive. We want people who want to make a difference - not just in the workplace, but in the industry and in the wider community.
EEO Statement: 
We consider our people our chief competitive advantage and as such we treat colleagues, candidates, clients, and business partners with equality, fairness, and respect. DUAL North America provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training. DUAL will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment.</div>

Analyst Transactional Risk

Brown Brothers Harriman

<div>At BBH, Partnership is more than a form of ownership&mdash;it&rsquo;s our approach to business and relationships. We know that supporting your professional and personal goals is the best way to help our clients and advance our business. We take that responsibility seriously. With a 200-year legacy and a shared passion for what&rsquo;s next, this is the right place to build a fulfilling career.
Enterprise Risk Management are looking to hire an Investor Services Risk Analyst to drive our mission; to strengthen and protect the firm and its clients by: (i) Establishing a global framework for identifying and anticipating risks to the Firm; (ii) Supporting our lines of business to execute our program of measuring, managing, and monitoring those risks; and (iii) Driving a culture of risk awareness, transparency and escalation.
The successful candidate will be responsible for proactive identification, assessment, monitoring, measurement, and mitigation of operational risks. This role will provide the right candidate with an opportunity to gain exposure to a variety of business functions, including other control functions such as Internal Audit, Office of General Counsel and Compliance.
Key responsibilities include:<ul><li>
Reviewing the accuracy and completeness of control and process events and analyzing the financial impacts of these events. In addition to the review, assessing the corrective actions effectiveness to mitigate event reoccurrence with the business teams, and escalating matters to the Risk Manager as needed.</li><li>
Monitoring and tracking the progress of the corrective actions and collaborating with peers to resolve any challenges.</li><li>
Assisting in establishing processes, documentation, and controls to manage the various risks across the lines of business, coordinating with internal teams as appropriate.</li><li>
Actively participating in the administration and analysis of risk and control self-assessments across Investor Services by ensuring that a robust review has been completed accurately in a timely manner based on established policies and procedures.</li><li>
Assisting the lines of business with presentations of processes and controls, and report generation as a part of the SOC1 audit engagements with External Auditors.</li><li>
Assisting the SOC1 Program Manager and business with actioning requests from External Auditors as well as performing administrative tasks.</li><li>
Identifying, assessing, and escalating trends, control weaknesses, root causes, and supporting the development of sustainable solutions for the management of risk in the business.</li><li>
Performing risk/control reviews of Operational processes. Developing narratives and process flows as part of the presentation of the findings and recommendations.</li><li>
Participating in the dissemination of business policies and procedures impacting the lines of business.</li><li>
Leveraging existing risk management tools, such as the firmwide risk event database and risk and control self-assessment database to assist in causal analysis of risk matters/incidents.</li><li>
Working closely with the lines of business as the point of contact and peers in ERM, Compliance and Internal Audit to ensure effective and proactive business risk mitigation.</li></ul>
Qualifications:
<ul><li>Bachelors degree or equivalent working experience.</li><li>
A minimum of 5 years of relevant industry experience in the asset management or asset servicing industry; Fund Accounting and Fund Administration experience preferred; Transfer Agency and Custody operations experience or experience within a risk and control function (Audit, Risk, Compliance, Legal or Big 4 Accounting Firm) is a plus.</li><li>
Strong experience with Excel, Visio, and PowerPoint.</li><li>
Strong communication skills, both written and oral.</li><li>
Strong collaboration and interpersonal communication skills.</li></ul> 
Salary Range
MA: $65,000 - $90,000 base salary + annual bonus target
BBH and its affiliates' compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck&mdash;providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being. 
We value diverse experiences. We value diverse experiences and transferrable skillsets. If your career hasn&rsquo;t followed a traditional path, includes alternative experiences, or doesn&rsquo;t meet every qualification or skill listed in the job description, please do go ahead and apply.
About BBH:
Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service, specialist expertise, technology solutions and partnership approach to client management. Across Investor Services and Capital Partners, we work with an enviable roster of sophisticated clients who make BBH their first call when they are tackling their hardest challenges. Delivering for our clients and each other energizes us.
We believe that how we do our work is just as important as what we do. We are relentless problem solvers who know our best ideas come from collective debate and development&mdash;so we are never possessive about our ideas. Every day we come together as a diverse community of smart and caring people to deliver exceptional service and expert advice&mdash;creating success that lasts. No matter where you sit in the organization, everyone is empowered to contribute their ideas. BBHers can pick up the phone and call any colleague, and they are happy to help. Expanding your impact beyond your daily role is part of how we operate as trusted partners to one another.
We believe stability is a competitive advantage, but being stable means having the knowledge, skill, and discipline to evolve, often&mdash;pushing the boundaries of innovation. As a private partnership, every investment we make is in the relationships, technologies, products and development we believe are in the long-term interests of our clients and our people. Our long-tenured leaders are experts in their areas and are actively involved in the day-to day business, taking the time to provide guidance and mentoring to build the next generation of BBHers. Because we know, our success begins with yours.
Go to BBH.com to learn more about our rewards and benefits, philanthropy, approach to sustainability or how we support you to thrive personally, physically and financially.
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.</div>

ERM Analyst

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