Wealth Management Risk & Controls Lead

ci; New York (NY); On-site; USD 110,000 - 145,000; Full time

Job summary

Corient is seeking a seasoned professional to lead and operate its risk and control program within Wealth Management. You will design and implement controls across contract to billing, money movement, and trade execution, and partner with Compliance, Finance, Operations and IT to drive risk mitigation.

The role requires hands-on knowledge of SOX 404 and RCSA, 4–8+ years in financial services, and a Bachelor's degree; CPA or audit certifications are a plus.

Qualifications

• Hands-on knowledge of internal controls over financial reporting and SOX 404.
• 4–8+ years of experience in the financial services industry preferred.
• Bachelor's degree required; CPA or relevant audit certifications a plus.
• Knowledge of MetricStream, Salesforce, Addepar and Workday is a plus.
• Knowledge of IT General Controls a plus.

Responsibilities

• Building, enhancing, and operating the firm's Operational Risk and Control environment.
• Designing and implementing controls; monitoring and testing their effectiveness.
• Overseeing Contract to billing, Money movement, and Trade execution controls.
• Managing Custodian User Access and Segregation of Duty reviews.
• Conducting design and operating effectiveness control testing.
• Developing and maintaining business procedures and playbooks for consistent control execution.
• Translating complex risks into actionable tasks and collaborating with Compliance, Finance, Operations and IT.
• Supporting special projects and ad hoc analyses related to corporate strategy and integration.

Skills

SOX 404

RCSA

SOC reporting

Control design

Operating effectiveness testing

Remediation

Education

Bachelor's degree

CPA or audit certifications

Tools

MetricStream

Salesforce

Addepar

Workday

Job description

Corient is seeking a seasoned professional to lead and operate its risk and control program within Wealth Management. You will design and implement controls across contract to billing, money movement, and trade execution, and partner with Compliance, Finance, Operations and IT to drive risk mitigation.

The role requires hands-on knowledge of SOX 404 and RCSA, 4–8+ years in financial services, and a Bachelor's degree; CPA or audit certifications are a plus.