Operational Risk/Regulatory Analyst - Mid-Level

Spectraforce Technologies; Westlake (TX); Hybrid; USD 120,000 - 190,000; Full time

Job summary

DAFgiving360 is seeking a Sr. Manager to provide 2nd line Risk Management oversight of business processes and administer key elements in support of its Enterprise Operational Risk and Compliance strategy.

The role will report to the Director, Risk Management and Compliance and oversee risk activities for assigned units to promote a culture of compliance. The candidate will collaborate with Legal and other departments to ensure policy adherence, develop corrective action plans, and drive

Qualifications

• Bachelor's degree in Finance, Law, Business Administration, Accounting or related field.
• 6+ years of financial industry experience in investment oversight/monitoring, 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.
• Ability to interpret and apply complex regulations and apply to business operations and assigned coverage areas.
• Excellent written and verbal communication skills; with demonstrated ability to deliver clear, concise communications.

Responsibilities

• Provide risk and compliance advice to Investment Oversight and other business units as assigned.
• Collaborate with Legal and other internal partners to ensure adherence to regulatory, contractual, and internal policy requirements.
• Identify potential risk areas and opportunities to enhance compliance.
• Develop monitoring and testing plans and determine enterprise risks.
• Support the implementation and execution of the Risk Management program, including compliance testing.
• Work with stakeholders to improve risk and compliance programs.

Skills

Risk management

Compliance

Investment oversight

Regulatory knowledge

Microsoft 365

Communication skills

Stakeholder management

Education

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

Tools

Power BI

Microsoft 365

Job description

Job Title : Risk Manager, Investment Oversight

Location : Westlake, TX 76262

Duration : 6 months

Flexibility : Mon - Thurs on site and remote on Fridays

Job Description

DAFgiving360 is seeking a Sr. Manager to provide 2nd line Risk Management oversight of business processes and administer key elements in support of its Enterprise Operational Risk and Compliance strategy. The successful candidate will report to the Director, Risk Management and Compliance for DAFgiving360. This role involves overseeing all business risk activities for assigned business units, identifying potential areas of compliance vulnerability and risk, providing independent effective challenge and helping the business to develop corrective action plans. The Sr. Manager Risk Management will work closely with various departments to ensure policy and standards are established and followed to promote a culture of compliance throughout the organization.

What you are good at

• Providing risk and compliance advice to Investment Oversight, Accounting, and other business units as may be assigned.


• Collaborating with internal business partners, such as the Legal team, to oversee and ensure DAFgiving360's adherence to regulatory, contractual, and internal policy requirements and standards.


• Working with the business and risk team to identify potential areas of vulnerability, risk and/or opportunities to enhance compliance within DAFgiving360.


• Driving development of monitoring and testing plans, identification of key and enterprise risks, and development of policy, standards, and other associated documentation for assigned coverage areas.


• Implementing and executing DAFgiving360's Risk Management program, inclusive of Compliance testing.


• Collaborating closely with business stakeholders to identify and implement opportunities for improvement of the DAFgiving360's risk and compliance programs.


• Carrying out other duties assigned, including, but not limited to, business strategic project work.


• We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site four days a week in the specified locations.


• Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

What you have

To ensure that we fulfill our promise of \"challenging the status quo,\" this role has specific qualifications that successful candidates should have.

Required Qualifications

• Bachelor's Degree focusing on Finance, Law, Business Administration, Accounting or related field


• 6+ years of financial industry experience in investment oversight/monitoring, 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


• Ability to interpret and apply complex regulations and apply to business operations and assigned coverage areas


• Advanced proficiency in Microsoft 360 programs (Word, PowerPoint, Excel, SharePoint, Power Automate, Power BI, CoPilot, etc.)


• Ability to independently identify opportunities for process improvement and enhancements to Risk and Compliance programs


• Excellent written and verbal communication skills; with demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audiences


• Exceptional attention to detail with proven ability to manage multiple competing initiatives simultaneously


• Excellent interpersonal, relationship building, and change?management skills


• Strong emotional intelligence and executive presence

Preferred Qualifications

• Advanced degree (e.g., JD, MBA) or certifications/designations (CAIA, CFA, CFP, CPA)


• Experience working with complex investment structures, including Alternative Investments and investment subadvisors. 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 in the Broker-Dealer and RIA space with a major brokerage firm


• Experience working within risk and compliance programs (at a large financial services organization), inclusive of monitoring, testing and reporting