Operational Risk & Internal Controls Specialist

BTGPactual InternationalMiami, New York

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Overview

Schedule

Full-time

Career level

Senior-level

Job Description

Operational Risk & Internal Controls Specialist

We are seeking a detail-oriented and proactive Operational Risk & Internal Control Analyst to join our team supporting mainly broker-dealer operations. This role is key in ensuring robust risk management practices through process mapping, control testing, incident analysis, and remediation tracking. The ideal candidate will have a strong understanding of broker-dealer US regulatory frameworks and operational workflows.

Key Responsibilities

Process Mapping & Control DesignDocument and analyze end-to-end operational processes across trading, clearing, settlement, client onboarding, and compliance functions.Identify control points, risk exposures, and process inefficiencies.Collaborate with business units to design and enhance internal controls aligned with FINRA, SEC, and other regulatory requirements.
Periodic Control TestingDevelop and execute periodic control testing plans to assess effectiveness and adherence.Maintain testing documentation and report findings to senior management.Recommend improvements and track implementation of control enhancements.
Operational Incident ReviewInvestigate operational incidents, trade breaks, reconciliation issues, and compliance breaches.Conduct root cause analysis and assess control failures or gaps.Prepare incident reports and escalate material issues as needed.
Action Plan Follow-UpMonitor and track remediation plans resulting from incidents, audits, or control testing.Ensure timely and effective resolution of identified issues.Provide regular updates to stakeholders and contribute to risk dashboards.

Qualifications

Bachelor’s degree in Finance, Accounting, Business, or related field
3–5 years of experience in operational risk, internal controls within a broker-dealer or financial services firm
Familiarity with FINRA, SEC, and other broker-dealer regulatory frameworks
Experience with process mapping tools (e.g., Visio, Drawio) and control testing methodologies.
Knowledge of trading systems, clearing platforms, and middle/back-office operations
Ability to work independently and manage multiple priorities in a fast-paced environmentSalary Pay Range
US$100K - US$120K

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FAQs About Operational Risk & Internal Controls Specialist Jobs at BTGPactual International

What is the work location for this position at BTGPactual International?

This job at BTGPactual International is located in Miami, New York, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.

What pay range can candidates expect for this role at BTGPactual International?

Candidates can expect pay range between $100,000–$120,000 for this role.

What employment applies to this position at BTGPactual International?

BTGPactual International lists this role as a Full-time position.

What experience level is required for this role at BTGPactual International?

BTGPactual International is looking for a candidate with "Senior-level" experience level.

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