Operational Risk/Regulatory Analyst

Aquent; Westlake (TX); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Subsidized health, vision, and dental

Retirement plan with match

Paid sick leave

Job summary

Aquent seeks a highly capable risk and compliance professional to provide 2nd line oversight of business processes within a leading financial services organization. Reporting to the Director of Risk Management and Compliance, you will identify vulnerabilities, implement corrective actions, and champion a culture of accountability across multiple units.

You will collaborate with Legal and other partners to ensure adherence to regulatory standards, develop monitoring plans, and drive continuous

Qualifications

• Bachelor’s degree in Finance, Law, Business Administration, Accounting, or a related field.
• 6+ years of financial industry experience in investment oversight/monitoring with knowledge of investment management processes, risk, and performance.
• Knowledge of enterprise risk management concepts and their application to investment processes.
• Ability to interpret complex regulations and communicate effectively across audiences.

Responsibilities

• Provide expert risk and compliance guidance to Investment Oversight, Accounting, and other units.
• Develop monitoring and testing plans and create policies and documentation for risk coverage.
• Implement and oversee the Risk Management program including compliance testing initiatives.
• Collaborate with Legal and other partners to ensure regulatory adherence and continuous improvement.

Skills

Risk management

Regulatory knowledge

Communication skills

Attention to detail

Change management

Executive presence

Data analysis

Automation tools

Education

Bachelor's degree in Finance, Law, Business Administration, Accounting, or related field

Advanced degree (JD, MBA) or relevant certifications

Tools

Data analysis platforms

Enterprise productivity tools

Job description

Join a leading financial services organization that is at the forefront of ensuring robust operational integrity and regulatory adherence. This is an exceptional opportunity to make a significant impact by safeguarding business processes and upholding the highest standards of compliance. You will play a pivotal role in shaping the risk landscape, driving strategic initiatives, and fostering a culture of accountability and excellence across various critical functions.

About the Role

We are seeking a highly skilled and proactive professional to provide crucial 2nd line Risk Management oversight for business processes. In this role, you will be instrumental in administering key elements that support our comprehensive Enterprise Operational Risk and Compliance strategy. Reporting to the Director, Risk Management and Compliance, you will be a central figure in overseeing all business risk activities for assigned units, proactively identifying potential areas of compliance vulnerability, and providing independent, effective challenge. Your expertise will directly contribute to developing and implementing robust corrective action plans, ensuring our operations remain resilient and compliant. This is your chance to collaborate with diverse departments, establish and uphold stringent policy standards, and champion a strong culture of compliance throughout the organization.

Key Responsibilities

• Provide expert risk and compliance advice to Investment Oversight, Accounting, and other assigned business units.
• Collaborate closely with internal business partners, such as the Legal team, to ensure steadfast adherence to regulatory, contractual, and internal policy requirements and standards.
• Work proactively with business and risk teams to identify potential areas of vulnerability, risk, and opportunities to enhance compliance.
• Drive the development of comprehensive monitoring and testing plans, identify key and enterprise risks, and develop essential policies, standards, and documentation for assigned coverage areas.
• Implement and execute the organization’s Risk Management program, including critical Compliance testing initiatives.
• Engage with business stakeholders to identify and implement continuous improvements for risk and compliance programs.
• Undertake additional assigned duties, including strategic project work, contributing to the broader objectives of the organization.

Must-Have Qualifications

• Bachelor’s Degree with a focus on Finance, Law, Business Administration, Accounting, or a related field.
• 6+ years of financial industry experience in investment oversight/monitoring, coupled with demonstrated knowledge of investment management processes, performance, and risk management.
• Working knowledge of Risk Management concepts (including enterprise and operational risk) and their applicability to investment management processes.
• Proven ability to interpret and apply complex regulations to business operations and assigned coverage areas.
• Advanced proficiency in enterprise productivity and collaboration tools, including data analysis and automation platforms.
• Ability to independently identify opportunities for process improvement and enhancements to Risk and Compliance programs.
• Excellent written and verbal communication skills, with a demonstrated ability to deliver clear, concise, and impactful communications to diverse audiences.
• Exceptional attention to detail with a proven ability to manage multiple competing initiatives simultaneously.
• Excellent interpersonal, relationship‑building, and change management skills.
• Strong emotional intelligence and executive presence.

Nice-to-Have Qualifications

• Advanced degree (e.g., JD, MBA) or relevant certifications/designations (e.g., CAIA, CFA, CFP, CPA).
• Experience working with complex investment structures, including Alternative Investments and investment subadvisors, with a preference for those with experience in alternative investment operations and investment accounting.
• Experience with sophisticated philanthropic structures, including impact investing and recoverable grants.
• 4+ years of direct experience working with alternative investment operations and/or investment accounting, including an understanding of the complexity and management of alternative investments and complex philanthropic investment vehicles.
• Experience in artificial intelligence, including governance, modeling, and program creation.
• Experience within regulated financial advisory and brokerage environments.
• Experience working within risk and compliance programs at a large financial services organization, inclusive of monitoring, testing, and reporting.

About Aquent Talent:

Aquent Talent connects the best talent in marketing, creative, and design with the world’s biggest brands.

• Our eligible talent get access to amazing benefits like subsidized health, vision, and dental plans, paid sick leave, and retirement plans with a match.

Aquent is an equal-opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, and other legally protected characteristics. We’re about creating an inclusive environment-one where different backgrounds, experiences, and perspectives are valued, and everyone can contribute, grow their careers, and thrive.

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