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VP, First Line Risk Management, Data Risk Governance
LPL FinancialTempe, Arizona
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: The role reports directly to the SVP, Operations Risk & Controls under the Principal Operations Officer (“POO”) for LPL Financial. The position is a leadership role involved with participating in many areas within First Line Risk Management and being the team leader over the management, development, reporting, communication and thought leadership for First Line Data Governance, Operations Resiliency and Access Management Governance. The leader’s organization supports First Line Data Governance, Key Risk Indicators (KRI), data sourcing and formatting for Risk Reporting insight and monthly reporting, governance of the Beta Platform (Beta TPX and Thomason One), Operational Efficiency Tracking and risk liaison for development of and training in emerging risks within the Data and Access Management Risk domain. The leader and their team are responsible for the access controls and identity governance of Beta TPX and Thomson One applications, collaborating closely with InfoSec IAM Ops, 1st and 2nd line risk partners and internal business stakeholders throughout the first line business units. The leader also is responsible for executing as the point person for Operations Risk and Controls within the Data Center of Excellence (COE), working closely with, and developing deeper relationships with Operations Data Management teams and 2nd line Data Governance. Responsibilities: Be the foremost thought leader in the First Line for the identification of risks in the management of data, including EUCs, data lineage, data integrity, single source of the truth and identification of gaps within current processes when it comes to data management Partner with Operations, Service and Trading sub-departments on bottoms up KRI and OKR development and reporting on a go forward basis, continuing to delve deeper until forward looking metrics and risk thresholds are developed This leadership role is the Product Access and Governance Owner for the Beta Platform in the Operations Organization who own’s roles and access entitlements in collaboration with the IAM team in Technology Governance of a formal identity and access management program for the Beta platform to enhance the governance of BORD restrictions, QC and control environment Produce monthly and ad hoc reporting and dashboards for executive leadership across Operations, Service and Trading for Risk Management Experience in operations, preferably with a Broker-Dealer, and securities product knowledge with strong understanding of respective controls and all categories of financial and non-financial operations risks Understand the Beta related business reporting, data and emerging risk and technology need/trends, and apply a risk lens to their process to drive proper risk reporting, data analysis and support Work with the Head of First Line Risk Management to establish and manage quarterly working groups with executive leadership of Operations, Service and Trading to deliver both risk and business reporting and dashboards while handling follow up escalations Perform query and reporting analysis in support of data and risk within the Service, Trading and Operations departments which will include documenting data sources and mappings Develop and maintain reports and dashboards for Regulatory Reporting, Fraud Operations, Operations and First Line Risk Management within Tableau and PowerBI Leveraging Tableau, R-Studio, PowerBI, Alteryx and other analytical tools, identify trends or patterns to uncover issues that need to be addressed Both lead and conduct research throughout the team, using analytical tools including visualization and statistical methods, while educating the team and end users/clients of the process, intangibles, and product Will collaborate closely with individuals throughout the organization including Operations, Technology Risk, ERM, Compliance, Legal, Technology and Data Management, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of risk management Manage work and projects with minimal oversight and take them from inception to execution, while partnering across the organization and defending challenge to work products and ideas Develop and maintain procedures to enhance operational efficiency and effectiveness around all newly developed work and data activities What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness , act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: 10+ years of industry experience within data management, analytics, statistical analysis, identity and access management, technology/system governance and reporting with at least 6+ years of extensive risk management background in the financial services industry (preferably with extensive data risk management background) in a large and mature risk management framework 5+ years of leadership experience with a demonstrated ability to be an effective team and work product leader 6+ years of utilizing Tableau, PowerBI or other BI Applications Experience with Beta and preferably in management of roles and entitlements Experience leading organizations through change and transformation with a track record of success, and motivating teams to deliver and create a best-in-class experience for Advisors Solid understanding of security principles and data protection practices Experience working with third-party suppliers including overseeing contracts, reporting metrics and SLAs Core Competencies: A penchant for continuous improvement and looking for different avenues to automate work and drive efficiencies Highly proficient with using SQL, Tableau, and Excel (advanced formulas, macros, pivots, etc.) Statistical Analysis, Hypothesis Testing, Model Development and Exploratory Analysis Experience working leveraging data warehouses for reporting and analysis Deep familiarity with IT security, access management and risk management practices Strong knowledge of SQL, Python, R, Tableau (or other scripting language) Strong people management and the ability to determine delegation of responsibilities in support of larger organizational deliverables and goals, while also being development minded to staff Ability to leverage others' expertise and experience in identifying, evaluating, and mitigating risks within First Line Risk Management Self-starter; must be a thought-leader, strategic thinker, and independent decision-maker Establish and maintain strong relationships with external stakeholders, such as regulatory authorities and industry forums, to stay informed about new developments and participate in relevant industry discussions Strong leadership abilities with the capacity to effectively lead and motivate a team, fostering a culture of accountability and high performance Ability to think strategically by developing and implementing long-term plans to achieve organizational objectives Ability to manage and lead effectively in an ever-changing environment (both corporate and regulatory), while managing the expectations of many projects and priorities at a time Ability to work with and communicate effectively to various levels throughout the organization Collaborates effectively with Technology, Product, Operations, Service, Trading, Compliance, 2nd line Risk Management and various other data teams across LPL Strong attention to detail with a proactive approach to solving and preventing operational, financial, and regulatory risk Ability to work under pressure/deadlines and manage multiple priorities, with effective communication to leadership via strong written and spoken communication skills Excellent analytical and problem-solving skills, with the ability to translate complex data into actionable insights Preferences: SEC broker-dealer experience or experience with large, diversified financial services firms is preferred Preferred major in Computer Science, Information Technology, Engineering, Statistics, MIS Masters in a data related field Certification in or experience working with Lean Six Sigma Experience with machine learning techniques and best practices Knowledge of or experience working with artificial intelligence Proven track record of successfully designing and implementing IAM solutions in large, complex organization Deep understanding of identity and access management principles, including access control models, authentication methods, and risk management Experience working with third-party suppliers, relationship management, and SLAs Pay Range: $132,300-$220,500/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947. EAC1.22.25
Posted 3 weeks ago
VP Business Risk - In-Business Regulatory Risk Management
0000050072 RbcJersey City, New Jersey
Job Summary VP Business Risk – Regulatory Compliance Reporting to the Director Business Risk – Regulatory Compliance the employee will collaborate with functional stakeholder, assisting in incorporating regulatory requirements in business initiatives under Agile ways of working. Working closely with USCM and the product teams, participating in meetings with the 2LoD, this role will support the identification and prioritization of applicable regulatory initiatives, as well assisting in facilitating the execution and implementation of regulatory requirements. Job Description What will you do? Represent business risk and product to support U.S and enterprise-wide regulatory or governance programs, coordinating feedback from the business and ensuring execution Identify, prioritize, and proactively manage dependencies, risks, exceptions, and issues. Support and foster a strong and effective control environment Assist in assessing current status of all regulatory related controls, recommend control enhancements as needed. Leverage reporting and Key Risk Indicators to identify trends, themes and areas requiring improved controls Champion regulatory issue self identification, provide transparency of status and progress on regulatory remediation Consult and educate the business on regulatory requirements and business implications, fostering a strong risk culture of ownership Maintain regular, clear communication with project teams, key partners, and management regarding stats of controls, testing, audit progress, and progress of issue management. Stay abreast of pertinent industry practices, skills and regulatory concerns Support best practices and improvement of the regulatory compliance processes What do you need to succeed? 3-5 years of regulatory compliance in the transaction banking/cash management/treasury services environment Experience in a compliance or audit role Profound knowledge of supervisory expectations expressed in U.S Regulatory Obligations, Federal Reserve Supervisor Letters, Office of the Comptroller of the Currency Bulletin Experience in interpreting, designing controls to meet prudential regulatory obligations such as Reg CC, Reg D, Reg J, Reg W Experience in applying legal, regulatory and/or policy requirements Experience in coordination of transformational efforts Experience in or excited to learn Agile way of working (e.g., manage backlog, track impediments, quick iterations with done better than perfect) Ability to draw connections between regulatory requirements and business initiatives, recognizing oncoming impediments and support the product teams to clear the path proactively Ability to both grasp big picture and have rigorous attention to detail Ability to influence a diverse group of stakeholders, and demonstrate strong collaboration skills across the organization Strong problem solving skills with a results-oriented mindset What’s in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in a dynamic, collaborative, progressive, and high-performing team Opportunities to do challenging work The expected salary range for this particular position is $125,000-$190,000 , depending on your experience, skills, and registration status, market conditions and business needs. You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals. RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: Drives RBC’s high-performance culture Enables collective achievement of our strategic goals Generates sustainable shareholder returns and above market shareholder value Opportunities to building close relationships with clients Work in a dynamic, collaborative, progressive, and high-performing team Opportunities to do challenging work Job Skills Auditing, Audits Compliance, Data Gathering Analysis, Decision Making, Ethical Business, Fraud Management, Internal Controls, Interpersonal Relationship Management, Results-Oriented, Risk Management Additional Job Details Address: GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY City: Jersey City Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CAPITAL MARKETS Job Type: Regular Pay Type: Salaried Posted Date: 2025-05-01 Application Deadline: Note : Applications will be accepted until 11:59 PM on the day prior to the application deadline date above I nclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com .
Posted 30+ days ago
Credit Risk Analyst, Risk Management
InvenergyChicago, IL
Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy. This position will be open for application for at least 3 calendar days from the posting date. This position will remain open for application based on business need, which may be before or after the 3-day posting window. Job Description Position Overview The Credit Risk Analyst, Risk Management will report to the Director- Risk Management and will be responsible for performing counterparty risk assessments, credit adjudication, related onboarding activities and leading the trade confirmations process in support of managing the risk profile of Invenergy's global renewable and thermal generation portfolio. The position will work with internal and external stakeholders in accordance with the company's risk and other policies. Responsibilities Support Risk Management team in performing counterparty risk assessments, including credit reviews which leverage financial statement and other material information Process daily trade confirmations ensuring data alignment and coordinate internal approvals as necessary Onboard new counterparties and contracts into ETRM and other systems Collaborate with internal and external stakeholders in maintaining and monitoring credit rating watchlist Review/monitor counterparty credit exposures, collateral postings and limits Maintain view of market dynamics and regulations across multi-national company footprint Ensure compliance with Credit, Risk and other policies Required Skills Bachelor's degree in Economics, Finance, Accounting, or similar field. Knowledge of credit analysis and management in related industry or field Sound understanding of financial statements and analysis Eligible to work in the United States without the need for employer visa sponsorship now or in the future Preferred Skills 1+ years of relevant experience Energy industry experience preferred. Experience in a trading environment with an ETRM such as Allegro preferred. Excellent analytical, quantitative, and modelling skills with strong attention to detail and a demonstrated ability to develop models in Excel. Understanding of market risk associated with gas and power trading activity preferred. Contract experience with ISDAs, NAESBs, PPAs, RECs, and EEIs is a plus. Strong communication and interpersonal skills. Ownership of and follow-through on commitments, with a demonstrated ability and desire to continuously improve. Excellent organizational skills and ability to prioritize effectively. Ability to work independently with little supervision as well as in a team environment. Ability and desire to work in a fast-paced, entrepreneurial environment with tight timelines. Base Pay 26.44/hr- 31.25/hr USD Bonus: 15% The base pay range reflects the minimum and maximum target salary for the position. Invenergy considers a number of factors when determining base pay offers such as the scope and responsibilities of the position and the candidate's experience, education and skills. In addition to base pay, the total annual compensation package may also include eligibility to participate in our bonus program(s) which are designed to reward individual and company performance. Your recruiter can share more about bonus eligibility for this position during the hiring process. Invenergy offers a variety of other benefits including medical, dental and vision insurance, 401k, paid time off, etc. Invenergy LLC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to, among other things, race, color, religion, sex, sexual orientation, gender identity, national origin, age, status as a protected veteran, or disability.
Posted 5 days ago
Clinical Risk Manager / Risk Management
Trinity Health CorporationWaterbury, CT
Employment Type: Full time Shift: Day Shift Description: Position Purpose The Risk Manager is responsible for the facility's risk management activities in both the inpatient and outpatient settings. This includes, but may not be limited to, administering the risk management program on a day-to-day basis, conducting/coordinating Root Cause Analyses (RCAs) and/or safety event investigations, participating in daily safety huddles and regular safety event meetings, and managing and analyzing risk management data. What you will do Conducts risk management educational programs, complying with risk management related standards by the Joint Commission and other accrediting and regulatory agencies with the objective of enhancing and promoting patient safety, quality care and minimizing loss to protect the assets of the facility. Responsible for basic general knowledge of facility insurance programs, working closely with the Risk Management Team in the coordination for all insurance concerns, managing claims against the facility, and interfacing with defense legal counsel as necessary. Minimum Qualifications Bachelor's Degree in Nursing, Public Health, or other related field required, Master's preferred. Medical risk management, insurance and/or legal experience in a hospital based environment is desirable Clinical licensure including Registered Nurse strongly preferred. Associates in Risk Management preferred Certified Professional in Healthcare Risk Mgt (CPHRM) required or must be obtained at point of eligibility. Strong understanding of hospital and patient care operations, Public Health Code regulations, Joint Commission standards and FDA and OSHA regulations. Position Highlights and Benefits Full time Mon-Fri days with flexibility for off-hours to meet the needs of the department Ministry/Facility Information Saint Mary's Hospital is a Catholic, not-for-profit, community teaching hospital that has been serving patients in Waterbury, CT and our surrounding communities since 1909. From the moment you step inside, you'll notice what makes us different: the warmth and attentiveness of our physicians and nurses, the cleanliness of our facilities, and the way we make patients and their families feel that they are truly being cared for - like a member of our family Our Commitment to Diversity and Inclusion Trinity Health is one of the largest not-for-profit, Catholic healthcare systems in the nation. Built on the foundation of our Mission and Core Values, we integrate diversity, equity, and inclusion in all that we do. Our colleagues have different lived experiences, customs, abilities, and talents. Together, we become our best selves. A diverse and inclusive workforce provides the most accessible and equitable care for those we serve. Trinity Health is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other status protected by law.
Posted 3 days ago
Compliance And Risk Specialist, Third Party Regulatory Oversight, Issue Management, Risk And Controls
SofiFrisco, TX
Employee Applicant Privacy Notice Who we are: 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. The role: The primary function of this position is to support the Compliance department in the development and implementation of an enhanced third party regulatory oversight program for SoFi. This includes assessing new third parties for regulatory compliance risk, advising on required controls to ensure consumer compliance with all federal and state laws and regulations, creating/updating SoFi's compliance policies, procedures and processes to address the revised program, assisting management of Compliance related Issues and Risk/Control library, and assisting the Product Compliance Officers in annual compliance risk assessments. This position is ideal for a person who will thrive in a fast-paced, entrepreneurial-like environment who has experience in successfully implementing this process at another bank. Knowledge of bank federal regulations and OCC/CFPB expectations for a bank third party regulatory oversight program is a must have. Being motivated, and passionate about consumer compliance, consumer compliance protection and having a drive to accomplish goals and the business at hand is pivotal. This individual will have the opportunity to contribute to the enhancement of SoFi's compliance management program, enabling the business to continue with rapid growth. What you'll do: Develop and maintain a risk-based framework and oversight that includes methodology, roles, responsibilities, documentation, governance and reporting to provide transparent, effective, and controlled risk related to the introduction of third parties throughout the enterprise. This role will be responsible for the development of enhancements to new or existing third-party oversight activities, policies, and procedures. Must be an effective change agent and collaborator, possess the skills and willingness to perform duties that are a combination of tactical, transactional, and strategic in nature. Review the existing third party oversight activities and provide feedback on areas of enhancement. Redesign and implement any necessary third party compliance oversight enhancements across the enterprise, ensuring clear communication and training of the process is achieved for a successful rollout. Participate in compliance risk assessment, analysis, monitoring, and oversight of SoFi's third party providers. Serve as a resource to team members and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage third party compliance risks. Ensure regulatory change management is occurring through SoFi's third party providers and are included in SoFi's regulatory change management repository per the regulatory change management policy. Develop and create trending analytics, heatmaps, key performance indicators, key risk indicators, and other metrics to measure and assess SoFi's compliance risks of third party providers. Streamline Compliance role in the Issue Management program and the RCSA program. Other duties as assigned What you'll need: Bachelor's Degree in Business or related fields is required. Minimum 5-7 years performing relevant regulatory consumer compliance functions in the banking industry, and in-depth knowledge of deposit and lending products and applicable laws and regulations, included but not limited to Reg. DD, Reg. E, Reg. CC, ECOA, RESPA, TILA, & FCRA and or a CRCM certification. Experience implementing a third party oversight program for a Compliance department at a large federal bank. Ability to analyze complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends. Excellent written and oral communication skills. Excellent analytical and consultative skills: detail-oriented; ability to grasp new concepts quickly, synthesize complex information effectively, and communicate complicated issues clearly and simply to present clear and actionable choices and recommendations; creative problem-solving skills. Demonstrates sound judgment; comfortable dealing with ambiguity; weighs options and alternatives in a timely and effective manner. Results-driven, self-starter possessing exemplary communication skills. Collaborative team-player who can find creative and practical solutions in a dynamic work environment. Ability to work under pressure, exhibiting timely decision making, and with a sense of humor and balance. Ability to handle ambiguity, balance multiple matters at once, and quickly and seamlessly shift from one situation or task to another Perform quality work within determined timeframes Must be organized and detail-oriented Must be proficient in Microsoft Office and/or Google Sheets specifically excel/sheets and powerpoint/slides Interact professionally with other employees, customers, vendors and shareholders Work independently while understanding the necessity for communicating and coordinating work efforts with other employees, departments, divisions, etc. Work on ad-hoc tasks, assignments and projects as needed Compensation and Benefits 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. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. 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. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to embracing diversity. 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. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees 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.
Posted 1 week ago
Sr Operations Risk Analyst Enterprise Risk Management
Bethpage Federal Credit UnionBethpage, NY
FourLeaf Federal Credit Union has a commitment to excellence and the highest standards of member service. Our values and beliefs are critical to the success and growth of the business and they were all created with a unique cultural foundation. The estimated salary for this role is $39.45 to $55.23 per hour. Responsibilities Include: Leveraging subject matter expertise in all areas of the Credit Union to identify, management, monitoring and tracking risk. Assist in the implementation and maintenance of the credit unions risk framework, supporting policies and procedures. This includes but is not limited to the implementation and maintenance of key ERM programs such as Risk Assessments, Reportable Events, New Product Approval Process, Risk Appetite, Model and Insurance Management and Key Risk Indicators. Identify significant operational processes across the credit union for evaluation of design and controls. Update, analyze and manage risk and control library and mappings in the Credit Union's GRC system based on new/modified process, policies and procedures. Work with management, business areas and risk counterparts to analyze, rate and mitigate significant risks by ensuring controls, standards, and processes are defined, designed, and implemented. Coordinate and facilitate risk assessments across the various business areas. Identification, tracking, reporting and maintenance of the Credit Union's Reportable Events program by working with the business areas, 1st and 2nd line, and CUSO's to gather information from multiple data sources for root cause analysis, rating and evaluation. Preparation of monthly, quarterly and annual reports and presentations for the Chief Legal & Risk Officer, VP of Enterprise and Third-Party Risk Management, Enterprise Risk Management Committee, Asset Liability Management Committee and Board. In addition to supporting management within various meetings, audits, projects, reviews and initiatives. Work with management to design and deliver educational, training or other materials to support desired organizational risk management frame work and culture. FourLeaf Federal Credit Union provides a range of benefits with various enrollment periods, including medical, dental, and vision coverage, a 401K plan with employer match, reimbursement programs, wellness programs, and an annual performance-based bonus
Posted 30+ days ago
VP, First Line Risk Management, Data Risk Governance
LPL Financial ServicesTempe, AZ
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial. Job Overview: The role reports directly to the SVP, Operations Risk & Controls under the Principal Operations Officer ("POO") for LPL Financial. The position is a leadership role involved with participating in many areas within First Line Risk Management and being the team leader over the management, development, reporting, communication and thought leadership for First Line Data Governance, Operations Resiliency and Access Management Governance. The leader's organization supports First Line Data Governance, Key Risk Indicators (KRI), data sourcing and formatting for Risk Reporting insight and monthly reporting, governance of the Beta Platform (Beta TPX and Thomason One), Operational Efficiency Tracking and risk liaison for development of and training in emerging risks within the Data and Access Management Risk domain. The leader and their team are responsible for the access controls and identity governance of Beta TPX and Thomson One applications, collaborating closely with InfoSec IAM Ops, 1st and 2nd line risk partners and internal business stakeholders throughout the first line business units. The leader also is responsible for executing as the point person for Operations Risk and Controls within the Data Center of Excellence (COE), working closely with, and developing deeper relationships with Operations Data Management teams and 2nd line Data Governance. Responsibilities: Be the foremost thought leader in the First Line for the identification of risks in the management of data, including EUCs, data lineage, data integrity, single source of the truth and identification of gaps within current processes when it comes to data management Partner with Operations, Service and Trading sub-departments on bottoms up KRI and OKR development and reporting on a go forward basis, continuing to delve deeper until forward looking metrics and risk thresholds are developed This leadership role is the Product Access and Governance Owner for the Beta Platform in the Operations Organization who own's roles and access entitlements in collaboration with the IAM team in Technology Governance of a formal identity and access management program for the Beta platform to enhance the governance of BORD restrictions, QC and control environment Produce monthly and ad hoc reporting and dashboards for executive leadership across Operations, Service and Trading for Risk Management Experience in operations, preferably with a Broker-Dealer, and securities product knowledge with strong understanding of respective controls and all categories of financial and non-financial operations risks Understand the Beta related business reporting, data and emerging risk and technology need/trends, and apply a risk lens to their process to drive proper risk reporting, data analysis and support Work with the Head of First Line Risk Management to establish and manage quarterly working groups with executive leadership of Operations, Service and Trading to deliver both risk and business reporting and dashboards while handling follow up escalations Perform query and reporting analysis in support of data and risk within the Service, Trading and Operations departments which will include documenting data sources and mappings Develop and maintain reports and dashboards for Regulatory Reporting, Fraud Operations, Operations and First Line Risk Management within Tableau and PowerBI Leveraging Tableau, R-Studio, PowerBI, Alteryx and other analytical tools, identify trends or patterns to uncover issues that need to be addressed Both lead and conduct research throughout the team, using analytical tools including visualization and statistical methods, while educating the team and end users/clients of the process, intangibles, and product Will collaborate closely with individuals throughout the organization including Operations, Technology Risk, ERM, Compliance, Legal, Technology and Data Management, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of risk management Manage work and projects with minimal oversight and take them from inception to execution, while partnering across the organization and defending challenge to work products and ideas Develop and maintain procedures to enhance operational efficiency and effectiveness around all newly developed work and data activities What are we looking for? We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: 10+ years of industry experience within data management, analytics, statistical analysis, identity and access management, technology/system governance and reporting with at least 6+ years of extensive risk management background in the financial services industry (preferably with extensive data risk management background) in a large and mature risk management framework 5+ years of leadership experience with a demonstrated ability to be an effective team and work product leader 6+ years of utilizing Tableau, PowerBI or other BI Applications Experience with Beta and preferably in management of roles and entitlements Experience leading organizations through change and transformation with a track record of success, and motivating teams to deliver and create a best-in-class experience for Advisors Solid understanding of security principles and data protection practices Experience working with third-party suppliers including overseeing contracts, reporting metrics and SLAs Core Competencies: A penchant for continuous improvement and looking for different avenues to automate work and drive efficiencies Highly proficient with using SQL, Tableau, and Excel (advanced formulas, macros, pivots, etc.) Statistical Analysis, Hypothesis Testing, Model Development and Exploratory Analysis Experience working leveraging data warehouses for reporting and analysis Deep familiarity with IT security, access management and risk management practices Strong knowledge of SQL, Python, R, Tableau (or other scripting language) Strong people management and the ability to determine delegation of responsibilities in support of larger organizational deliverables and goals, while also being development minded to staff Ability to leverage others' expertise and experience in identifying, evaluating, and mitigating risks within First Line Risk Management Self-starter; must be a thought-leader, strategic thinker, and independent decision-maker Establish and maintain strong relationships with external stakeholders, such as regulatory authorities and industry forums, to stay informed about new developments and participate in relevant industry discussions Strong leadership abilities with the capacity to effectively lead and motivate a team, fostering a culture of accountability and high performance Ability to think strategically by developing and implementing long-term plans to achieve organizational objectives Ability to manage and lead effectively in an ever-changing environment (both corporate and regulatory), while managing the expectations of many projects and priorities at a time Ability to work with and communicate effectively to various levels throughout the organization Collaborates effectively with Technology, Product, Operations, Service, Trading, Compliance, 2nd line Risk Management and various other data teams across LPL Strong attention to detail with a proactive approach to solving and preventing operational, financial, and regulatory risk Ability to work under pressure/deadlines and manage multiple priorities, with effective communication to leadership via strong written and spoken communication skills Excellent analytical and problem-solving skills, with the ability to translate complex data into actionable insights Preferences: SEC broker-dealer experience or experience with large, diversified financial services firms is preferred Preferred major in Computer Science, Information Technology, Engineering, Statistics, MIS Masters in a data related field Certification in or experience working with Lean Six Sigma Experience with machine learning techniques and best practices Knowledge of or experience working with artificial intelligence Proven track record of successfully designing and implementing IAM solutions in large, complex organization Deep understanding of identity and access management principles, including access control models, authentication methods, and risk management Experience working with third-party suppliers, relationship management, and SLAs Pay Range: $132,300-$220,500/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947. EAC1.22.25
Posted 2 weeks ago
Program Manager, Risk Analytics - Risk Management - Full Time 8 Hour Days (Exempt) (Non-Union)
University of Southern CaliforniaLos Angeles, CA
The Program Manager, Risk Analytics, is responsible for the Office of Integrated Risk Management's Risk Analytics Program including the design, budgeting, and execution of the Risk Analytics Strategy. The Program Manager will provide expertise in healthcare/risk informatics, and direct oversight of the Risk Analytics Programs and vendor contracts, including acting as the System Administrator/Business Lead for the Incident Reporting and Electronic Consent Systems. This role is responsible for design, analysis, and maintenance of all risk data systems, including (but not limited to) database design, data integration, return on investment modeling, risk identification and assessment, risk monitoring, decision analysis, report design, report publication, general department information management, and maintaining department data protections/confidentiality. The Program Manager may provide backup support and coverage to Risk Management Manager and Director positions, as needed. This role is critical to the Office's commitment to providing integrated, collaborative, and evidence-based enterprise risk management at Keck Medicine of USC. Essential Duties: Program Administration: • Direct oversight of the Risk Analytics programs, including the Case Probabilistic Modeling Program • Responsible for the creation and execution of the Risk Analytics Strategic Plan • Acts as System Administrator and Business Lead for the Incident Reporting System • Acts as System Administrator and Business Lead for the Electronic Consent System • Oversees scheduled risk data submissions including, but not limited to: Patient Safety Organization (PSO), Clery Act, Professionalism Program, and Peer Review • Develops and monitors the Risk Analytics budget • Acts as business lead for Risk Analytics vendor contracts • Ensures that program structures and workflows support security and confidentiality of risk information and analyses, including the management of state and federal information protections. • Facilitates the development of written procedures and guidelines to direct the provision of risk analytics activities, as needed. Ensures policies and procedures are in place to support scope of services. • Conducts regular internal performance monitoring reviews of Risk Analytics Programs. Helps to design and implement appropriate steps to continually enhance and improve their effectiveness. Promotes authentic and diplomatic communication necessary for the implementation of program/project objectives. • Maintains awareness and knowledge of current changes within legal, regulatory, and technology environments which may impact department data systems and workflows. Ensures department management and staff are informed of any changes and updates in a timely manner. Project Management: • Acts as Project Manager for Risk Analytics and technical projects • Works closely with the Senior Manager of Prevention and Loss Control Programs and the Risk Executive Administrator on strategic projects and initiatives, performing other risk related responsibilities and duties, as needed. Risk Analytics: • Provides expertise and effectiveness in clearly communicating complex problems, recommended actions, and intervention statuses. • Participates in analytics activities including, but not limited to, risk identification, trend analysis, return on investment modeling, probabilistic modeling, decision analysis, risk assessments, data submission, database maintenance, dashboard building, report generation, and data validation. • Establishes and maintains appropriate network of professional contacts. Maintains membership in appropriate professional organizations and publications. Attends meetings, seminars, and conferences and maintains continuity of any required or desirable certifications, if applicable. Leadership/Supervision: • Acts as supervisor to the Risk Data Analyst • May act as preceptor for the department's Master of Health Administration (MHA) Residents or Interns Performs other duties as assigned Required Qualifications: Req Bachelor's Degree Degree in a related field. One year MHA Residency completed at Keck Medicine of USC may be substituted for one year work experience Req 2-5 years Experience in risk management, quality, performance improvement, safety, healthcare analytics, or experience utilizing healthcare risk management or analytics principles Req Demonstrated ability to interact professionally with culturally and professionally diverse individuals Req Excellent organizational, and oral and written communication skills Req Demonstrated ability to analyze and solve complex problems, and deal objectively and tactfully with sensitive, confidential information Req Excellent computer skills, including advanced knowledge of Microsoft Office Programs (PowerPoint, Visio, Word, Excel, Outlook) and data analytics software (i.e., PowerBI, Tableau, etc.) Req Demonstrated ability to provide administrative reports and analyses of overall efficiency and effectiveness of initiatives Req Demonstrated knowledge of business analytics, healthcare informatics, decision analysis, program management, and project management Req Experience in independently organizing and defining tasks, setting priorities, independent work, and operating effectively and efficiently under fluctuating, high-risk, and emergent conditions while delivering the desired results on or below budget and successfully meeting deadlines. Req Ability to clearly identify and convey key points from complex analyses and proposals in both formal and informal settings. Req Experience leading multi-disciplinary projects and initiatives, working on cross-functional teams, and managing communication with patients, visitors, staff, clinical providers, and executive leadership Preferred Qualifications: Pref Master's degree Public Health, Health Administration, Risk Management, Business Administration, or Analytics related field Pref Knowledge of healthcare risk data protections and required reporting (e.g., California Evidence Code 1157, Patient Safety Act and Patient Safety Rule, Clery Act) Pref Experience working with Information Technology (IT) teams/vendors, managing technical system vendors and contracts Pref Strong leadership and teambuilding skills Pref Certification - Job Relevant Certified Professional Healthcare Risk Manager (CPHRM), Associate in Risk Management (ARM), and/or other Risk Management CertificationLEAN or Six Sigma Certification (preferred) Required Licenses/Certifications: Req Fire Life Safety Training (LA City) If no card upon hire, one must be obtained within 30 days of hire and maintained by renewal before expiration date. (Required within LA City only) The annual base salary range for this position is $81,120.00 - $133,010.00. When extending an offer of employment, the University of Southern California considers factors such as (but not limited to) the scope and responsibilities of the position, the candidate's work experience, education/training, key skills, internal peer equity, federal, state, and local laws, contractual stipulations, grant funding, as well as external market and organizational considerations. USC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, or any other characteristic protected by law or USC policy. USC observes affirmative action obligations consistent with state and federal law. USC will consider for employment all qualified applicants with criminal records in a manner consistent with applicable laws and regulations, including the Los Angeles County Fair Chance Ordinance for employers and the Fair Chance Initiative for Hiring Ordinance, and with due consideration for patient and student safety. Please refer to the Background Screening Policy Appendix D for specific employment screen implications for the position for which you are applying. We provide reasonable accommodations to applicants and employees with disabilities. Applicants with questions about access or requiring a reasonable accommodation for any part of the application or hiring process should contact USC Human Resources by phone at (213) 821-8100, or by email at uschr@usc.edu. Inquiries will be treated as confidential to the extent permitted by law. Notice of Non-discrimination Employment Equity Read USC's Clery Act Annual Security Report USC is a smoke-free environment Digital Accessibility If you are a current USC employee, please apply to this USC job posting in Workday by copying and pasting this link into your browser: https://wd5.myworkday.com/usc/d/inst/1$9925/9925$129182.htmld
Posted 1 week ago
Sr. Analyst Third-Party Risk, Enterprise Risk Management
CardWorksWoodbury, Minnesota
Join our team - and take the next step in achieving a fulfilling career! What We Do At CardWorks, we aim to help people connect with possibility and opportunity using our financial servicing expertise . Building meaningful, long-term relationships with consumers, our employees, and our clients is what matters most. Who We Are CardWorks, Inc. is a diversified consumer finance service provider and parent company of CardWorks Servicing, LLC, Merrick Bank and Carson Smithfield, LLC . CardWorks Servicing, LLC provides end-to end operational servicing functions for credit cards, secured cards, and installment loans. We service consumer and small business loans across the credit spectrum and offers backup servicing and due diligence services to capital providers and trustees. Merrick Bank is an FDIC-insured Utah Industrial Loan Bank . Merrick operates three main business lines : credit cards, recreational lending, and merchant services. Carson Smithfield, LLC provides a variety of post-charge-off debt recovery services, including digital self-service, IVR, live agent, and external agency management. The Enterprise Risk Management (“ERM”) team is responsible for implementing the risk governance program, risk oversight, and to provide an independent view of risks faced by CardWorks, its clients and their customers. The Third-Party Senior Risk Analyst supports the overall direction of Third-Party Risk Management (“TPRM”) activities by identifying and assessing potential risks with current and potential third parties. Essential Functions: Manage and support the Company’s third-party risk strategy by ensuring risk assessments, due diligence, and ongoing monitoring is conducted according to the Third-Party Risk Management policy and any gaps are accurately identified and remediated. Performs initial risk triage for high-risk service providers and performs assessment of service providers’ information security programs and controls as it relates to the Company’s requirements. Validates elements of the Third-Party Risk Assessment, working with service providers and business relationship owners to ensure data is complete, accurate and approved timely. Manage the oversight/ coordination of third-party risk management and the respective oversight and performance assessments. Work with the Business Relationship Owners throughout the organization for current and potential third parties to obtain necessary information for risk assessments (financials, audit reports, questionnaires, policies, etc.). Assess, in writing, key risks that may arise from the Company’s outsourced activities and options for controlling these risks. Prepares TPRM reporting for management and committees, including board of directors. Identifies, prioritizes and pursues opportunities to enhance the Company’s third party risk management processes and propose innovative solutions to optimize program effectiveness. Manage TPRM’s system of record, RSA Archer, and provides recommendations on how to maximize the systems efficiency and user experience. Adjust processes to adhere to changes in the regulatory environment. Oversee and maintain operational procedures for TPRM processes. Escalate suspected violations of law, regulations or non-compliance to Company policies. Drives TPRM training across the First Line of Defense to ensure roles and responsibilities across key stakeholders are clearly understood. Reviews and approves certain due diligence assessments as needed. Perform other duties as assigned by the Director, Third-Party Risk Management Education and Experience: Bachelor’s degree in a business-related field required; or six (6) years of related work experience accepted in lieu of education Seven (7) years of related experience in Third-Party Risk Management, experience in Information Security Assessments preferred Additional experience with risk, audit or internal control monitoring experience preferred. Summary of Qualifications: Must possess strong analytical skills, system skills, and writing/ communication skills GRC (Governance, Risk and Compliance) system experience preferable (RSA Archer experience a plus) Experience with Microsoft applications (Excel, Word, PowerPoint, and Visio) Industry experience and general knowledge of third-party risk management Demonstrate an ability to establish and maintain effective working relationships at all levels within the organization Effective planning, time management, attention to detail, customer service and problem-solving skills. Ability to work effectively under pressure. Skilled at handling a variety of assignments simultaneously. Flexibility and willingness to work at a rapid pace under strict time frames. Certifications in Third-Party Risk Assessment (CRVPM, CTPRP, CISM) preferred The salary range for this position, if located in NY Metro/NY State is $103,000 to $115,000 a year. However, please note that the salary range will vary for other geographic areas. #INDHP Our Employee Value Proposition Competitive Pay , including a Bonus Target or Variable Pay Incentive Program Benefits Package -Medical, Dental, and Vision (plus much more) 401(k) Plan with Company Match Short- & Long-Term Disability Wellness Programs Group Life and AD&D Insurance Paid Vacation, Sick Days and bank Holidays Employee Engagement Activities including Employee Appreciation Day, DEI Employee Resource Groups, Corporate Social Responsibility, Service Recognition We offer a total rewards package comprised of a competitive base rate of pay, variable pay incentive programs based on the role, and a comprehensive benefit suite. Offered rates of pay are determined based on job-related knowledge, relevant experience, skills, certifications, and geographic location. We are an equal opportunity employer, and we evaluate qualified applicants without regard to race, color, religion, sex, national origin, disability, veteran status or any other legally protected characteristic. We will conduct a thorough background check for all hires in compliance with applicable .
Posted 30+ days ago
Senior Quality Engineer, Risk Management & Product Risk Assessment
Edwards Lifesciences CorpIrvine, CA
Please note this is an "onsite" role, and the successful candidate will be expected to work at our corporate Irvine, CA campus. Aortic stenosis impacts millions of people globally, yet it often remains under-diagnosed and under-treated. Edwards' groundbreaking work in transcatheter aortic heart valve replacement (TAVR) pioneered an innovative, life-changing solution for patients by offering heart valve replacement without the need for open heart surgery. Our Transcatheter Heart Valve (THV) business unit continues to partner with cardiologists and clinical teams to transform patient care with devices supported by clinical evidence. It's our driving force to help patients live longer and healthier lives. Join us and be part of our inspiring journey. This Senior Quality Engineer will be part of Edwards Lifesciences' growing Transcatheter Heart Valve (THV) quality engineering team in Irvine, CA. This position is responsible for managing THV's Risk Management/Product Risk assessment activities and contributing to Post-Market Surveillance. We are looking for a strong engineer with solid technical expertise, who enjoys working in a fast-paced and rapidly growing environment. How you will make an impact: Risk Management System & Compliance Develop, maintain, and improve the Risk Management File (RMF) for Class III medical devices, ensuring compliance with ISO 14971, ISO 13485, 21 CFR 820, MDR (EU 2017/745), and other applicable regulations. Support regulatory submissions by providing risk documentation for 510(k), PMA, CE Marking, and international registrations. Work closely with cross-functional teams (R&D, Regulatory, Clinical, Manufacturing, and Post-Market Surveillance) to ensure risk management principles are integrated into the design and development process. Product Risk Assessment (PRA) for Manufacturing & Complaints Maintain a structured business process for Product Risk Assessment (PRA) related to manufacturing non-conformances and customer complaints. Partner with manufacturing plants to assess risk impact of process deviations, supplier issues, and product failures. Develop and implement risk escalation procedures for critical failures and field safety actions. Improve efficiency in identifying and assigning risk IDs for complaints by introducing automation or AI-based solutions where applicable. Post-Market Surveillance & Continuous Improvement Conduct post-market risk assessments by analyzing trends in complaints, adverse events, and field failures to ensure timely mitigation actions. Support risk-based decision-making for design changes, field actions, and recalls in collaboration with Clinical, Regulatory, and Quality teams. Drive continuous improvement initiatives by identifying trends and optimizing risk management workflows, templates, and processes. Provide training to internal teams on risk management methodologies, regulatory expectations, and best practices. Performs other quality-related duties as assigned by management What you'll need (Required): Bachelor's degree in engineering or scientific field with at least 4 years of experience in medical device risk management; or Master's degree in engineering or scientific field with at least 3 years of experience in medical device risk management. Strong knowledge of ISO 14971, ISO 13485, 21 CFR Part 820, EU MDR, and FDA requirements. Hands-on experience with design and process FMEA, hazard analysis, and post-market risk assessments. Experience assessing complaints, CAPAs, and non-conformances for risk evaluation. Strong analytical and problem-solving skills with attention to detail. Excellent communication skills and ability to work cross-functionally in a regulated environment. What else we look for (Preferred): Engineering degree Medical device risk management, preferably in Class III medical devices (e.g., cardiovascular, neurovascular, implantable devices) Experience with risk management software tools (e.g., MedDev, Greenlight Guru, SAP, or Windchill). Experience implementing automation or AI-driven solutions for complaint risk assessments. Previous experience working with global manufacturing plants and suppliers. Six Sigma, or ASQ Certified Quality Engineer (CQE). Aligning our overall business objectives with performance, we offer competitive salaries, performance-based incentives, and a wide variety of benefits programs to address the diverse individual needs of our employees and their families. For California (CA), the base pay range for this position is $106,000 to $149,000 (highly experienced). The pay for the successful candidate will depend on various factors (e.g., qualifications, education, prior experience). Applications will be accepted while this position is posted on our Careers website. Edwards is an Equal Opportunity/Affirmative Action employer including protected Veterans and individuals with disabilities. COVID Vaccination Requirement Edwards is committed to protecting our vulnerable patients and the healthcare providers who are treating them. As such, all patient-facing and in-hospital positions require COVID-19 vaccination. If hired into a covered role, as a condition of employment, you will be required to submit proof that you have been vaccinated for COVID-19, unless you request and are granted a medical or religious accommodation for exemption from the vaccination requirement. This vaccination requirement does not apply in locations where it is prohibited by law to impose vaccination.
Posted 30+ days ago
Senior Risk Operations Specialist | Portfolio Risk Management
Ramp Business CorporationNew York City, NY
About Ramp Ramp is a financial operations platform designed to save companies time and money. Our all-in-one solution combines payments, corporate cards, vendor management, procurement, travel booking, and automated bookkeeping with built-in intelligence to maximize the impact of every dollar and hour spent. More than 30,000 businesses, from family-owned farms to e-commerce giants to space startups, have saved $2B and 20M hours with Ramp. Founded in 2019, Ramp powers the fastest-growing corporate card and bill payment platform in America, and enables over $55 billion in purchases each year. Ramp's investors include Thrive Capital, Sands Capital, General Catalyst, Founders Fund, Khosla Ventures, Sequoia Capital, Greylock, and Redpoint, as well as over 100 angel investors who were founders or executives of leading companies. The Ramp team comprises talented leaders from leading financial services and fintech companies-Stripe, Affirm, Goldman Sachs, American Express, Mastercard, Visa, Capital One-as well as technology companies such as Meta, Uber, Netflix, Twitter, Dropbox, and Instacart. Ramp has been named to Fast Company's Most Innovative Companies list and LinkedIn's Top U.S. Startups for more than 3 years, as well as the Forbes Cloud 100, CNBC Disruptor 50, and TIME Magazine's 100 Most Influential Companies. About the Role As an early member of Ramp's Risk Strategy & Operations team, you will help execute and maintain operational initiatives that manage credit and fraud risk for Ramp's growing customer base. This role requires an understanding of risk management processes and the ability to analyze risk vectors such as credit and fraud risks, while managing customer needs. We take our responsibility to serve our customers' commitment to their financial health seriously, and our approach is anchored in data-driven and systematic decisions to delight our customers. What You'll Do Execute Ramp's risk management policies on key customer management interactions, including payment holds/requests, credit limit increase requests, credit risk reviews, and delinquency management for Ramp's corporate credit card and bill pay products Provide best in class customer experience, while managing credit and fraud risk, by effectively managing customer support requests over phone and email Work directly with internal and external stakeholders on documentation of processes, escalations, and risk updates across the organization Own a critical piece of the feedback loop to improve our customer user experience, including partnering with product and engineering to build best in class risk tooling to increase operational efficiency Partner with data analysts to help develop KPIs and build monitoring dashboards Have the ability to grow, develop and learn in a fast-paced, start-up environment What You Need 4+ years of experience in Credit Risk Analysis or Underwriting Experience within consumer/corporate/small business cards, payments, invoices, lending, or related industries Excellent written and verbal communication skills Strong background in customer support via email Investigative and critical thinking skills BA/BS from an accredited university Nice to Haves Experience in high-growth startups Experience building complex financial products Strong background in customer support via phone Compensation For candidates located in NYC or SF, the pay range for this role is $102,300 - $171,500. For candidates located in all other locations, the pay range for this role is $92,100 - $154,350. Benefits (for U.S.-based full-time employees) 100% medical, dental & vision insurance coverage for you Partially covered for your dependents One Medical annual membership 401k (including employer match on contributions made while employed by Ramp) Flexible PTO Fertility HRA (up to $5,000 per year) WFH stipend to support your home office needs Wellness stipend Parental Leave Relocation support to NYC or SF Pet insurance Other notices Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Ramp Applicant Privacy Notice
Posted 30+ days ago
Legal Specialist, Risk & Insurance - Risk Management - Full Time 8 Hour Days (Exempt) (Non-Union)
University of Southern CaliforniaLos Angeles, CA
The Office of Integrated Risk Management is dedicated to fostering a culture of safety, transparency, and continuous learning in alignment with Keck Medicine of USC's commitment to patient safety and academic excellence. As a nationally recognized Center of Integrated Risk Management Excellence, we work collaboratively across disciplines to proactively identify, mitigate, and manage risk, ensuring the highest standards of accountability, integrity, and innovation in healthcare. The Legal Specialist, Risk & Insurance is a highly skilled legal professional, such as a paralegal, attorney, or specialist with equivalent legal experience, to join our team and contribute to our pioneering efforts in healthcare risk management. This role is essential in supporting claims administration, litigation processes, regulatory compliance, and insurance operations while upholding the principles of just culture, communication resolution, and patient-centered safety practices. As a key partner in our high-performing team, this position will play a critical role in risk mitigation, litigation support, and regulatory reporting, collaborating closely with risk managers, insurers, defense counsel, and the Office of General Counsel. This position will work at the forefront of healthcare risk and insurance law, helping to shape policies and practices that empower providers, protect patients, and strengthen institutional resilience. Essential Duties: Claims & Litigation Support • Support comprehensive claims management, including early resolution, potential compensable events (PCEs), and medical malpractice litigation • Oversee subpoena processing, discovery requests, and document verification • Prepare settlement agreements, case summaries, and litigation support materials in collaboration with legal teams • Assist in root cause analysis and risk assessments related to claims and litigation • Coordinate legal billing compliance and vendor management for outside counsel Insurance & Risk Management • Assist with insurance renewal processes, data collection, and broker coordination • Support review of insurance contracts for compliance with risk and liability standards • Manage Certificates of Insurance (COIs), claim histories, and documentation for credentialing • Maintain international telemedicine policies, professional liability policies, and compliance records Regulatory & Compliance Support • Draft reports to the National Practitioner Data Bank (NPDB) and licensing boards for resolved cases • Support compliance with healthcare risk, credentialing, and liability mitigation requirements • Assist in BETA Heart audit tracking and Professional Liability Oversight Committee activities • Conduct legal research on healthcare risk, regulatory changes, and industry best practices Administrative & Program Support • Prepare meeting agendas, reports, and documentation for risk huddles, committees, and oversight meetings • Maintain case files, insurance records, legal documents, and compliance materials • Respond to legal inquiries, subpoena requests, and insurance coverage questions • Assist in the implementation of risk assessment and credentialing initiatives Perform other duties as assigned Required Qualifications: Req Bachelor's Degree Law, Healthcare Law, Compliance, or related field JD or equivalent legal experience may substitute for formal education. Req 5 years Healthcare risk management, medical litigation, insurance law, or claims administration OR Req Experience as a licensed or formerly licensed attorney in relevant legal domains will also be considered Req Strong knowledge of medical malpractice defense, liability insurance policies, and risk financing Req Experience with credentialing processes, legal discovery, and regulatory compliance in healthcare Req Commitment to patient-centered risk management and communication resolution programs Req Exceptional analytical skills and proactive problem-solving abilities Req Advanced proficiency in case management systems, insurance databases, and regulatory reporting tools Req Excellent written and verbal communication skills, particularly in legal documentation and risk reporting Req Ability to thrive in a fast-paced, high-accountability environment with cross-functional teams Preferred Qualifications: Pref Experience in academic medical centers, hospital risk management, or insurance defense law Pref Knowledge of ASHRM best practices, communication resolution programs, and just culture frameworks Pref Familiarity with National Practitioner Data Bank (NPDB) reporting, healthcare disclosure laws, and international insurance policies Required Licenses/Certifications: Req Fire Life Safety Training (LA City) If no card upon hire, one must be obtained within 30 days of hire and maintained by renewal before expiration date. (Required within LA City only) Req Paralegal certificate, JD, or other relevant legal credential The annual base salary range for this position is $95,680.00 - $158,230.00. When extending an offer of employment, the University of Southern California considers factors such as (but not limited to) the scope and responsibilities of the position, the candidate's work experience, education/training, key skills, internal peer equity, federal, state, and local laws, contractual stipulations, grant funding, as well as external market and organizational considerations. USC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, or any other characteristic protected by law or USC policy. USC observes affirmative action obligations consistent with state and federal law. USC will consider for employment all qualified applicants with criminal records in a manner consistent with applicable laws and regulations, including the Los Angeles County Fair Chance Ordinance for employers and the Fair Chance Initiative for Hiring Ordinance, and with due consideration for patient and student safety. Please refer to the Background Screening Policy Appendix D for specific employment screen implications for the position for which you are applying. We provide reasonable accommodations to applicants and employees with disabilities. Applicants with questions about access or requiring a reasonable accommodation for any part of the application or hiring process should contact USC Human Resources by phone at (213) 821-8100, or by email at uschr@usc.edu. Inquiries will be treated as confidential to the extent permitted by law. Notice of Non-discrimination Employment Equity Read USC's Clery Act Annual Security Report USC is a smoke-free environment Digital Accessibility If you are a current USC employee, please apply to this USC job posting in Workday by copying and pasting this link into your browser: https://wd5.myworkday.com/usc/d/inst/1$9925/9925$128527.htmld
Posted 3 weeks ago
Consultant, Risk Management - Third Party Risk
NationwideColumbus, OH
As a team member in the Finance department at Nationwide, the opportunities are endless! You can grow and learn in diverse areas across many disciplines such as Advanced Analytics, Investments, Actuarial, Accounting, Risk Management, Critical Business Advisor, Internal Audit, and so much more. Let Nationwide help create your career journey! At Nationwide, "on your side" goes beyond just words. Our customers are at the center of everything we do and we're looking for associates who are passionate about delivering extraordinary care. The ideal candidate will also have experience with the following: Proficiency in data analysis and visualization techniques. Ability to create meaningful visualizations that effectively communicate insights to third-party risk key stakeholders and senior management. It is our intention to fill this role in Columbus, Ohio. However, on occasion, applications from internal candidates working remotely who bring critical industry skills and relevant experience may be considered. This will be a hybrid role with the team coming into the office Tuesdays and Wednesdays. This role does not qualify for employer-sponsored work authorization. Nationwide does not participate in the Stem OPT Extension program. #LI-AZ1 Job Description Summary Do you have the desire to apply risk management practices to drive business outcomes? Nationwide has been managing risk to serve our members and affects results for almost 100 years. Our industry-leading workforce embraces an agile work environment and a collaborative culture to deliver outstanding solutions and results. As a Consultant, you'll play a key role in ensuring our business partners have a clear understanding of the risks we take. You'll also have an opportunity to proactively manage these risks to ensure we meet our growth, capital and return business objectives. You'll weigh in on our risk management options across our businesses and operations to appropriately balance risk and reward for achievement of our mission, vision and strategic goals. Job Description Key Responsibilities: Consults with business partners on sophisticated enterprise risk management (ERM) philosophies, policies and practices. Crafts risk policies and coordinates risk management efforts. Analyzes and measures enterprise risks. Performs stress testing, scenario analysis and other techniques to understand potential impacts to the modeled results. Links risk management to Nationwide's strategy while enhancing risk diversification, protecting capital strength and supporting the achievement of risk-adjusted target returns. Handles risk monitoring and reporting processes. Defines standard enterprise risk metrics/measures for all significant risks. Leads initiatives associated with the identification, assessment, prioritization, and reporting of financial, operational and strategic risks to Nationwide. Researches and analyzes risk findings/issues and recommends appropriate solutions to business partners. Develops, implements and maintains the department governance, risk and controls software applications. Owns specialized department training and ERM communication initiatives. Facilitates training and may attend conferences. May perform other responsibilities as assigned. Reporting Relationships: Reports to Risk/Actuarial leader. Typical Skills and Experiences: Education: Undergraduate studies in finance, accounting, economics, statistics, mathematics or related subject area required. Graduate-level studies in a related field with advanced degree highly desirable. License/Certification/Designation: None required. Progress toward CPA, CFA, or similar preferred. Experience: Typically, five or more years of related work experience in insurance and/or the financial services industry. Knowledge, Abilities and Skills: Proficient analytical skills to build solutions for sophisticated risk management problems. Proven knowledge in risk management and the insurance industry. Confirmed ability to accomplish all activities related to the development and implementation of ERM processes. Proficient written and verbal communication skills. Skilled in presentations, influencing and project management. Ability to analyze financial and statistical data to make sound recommendations. Other criteria, including leadership skills, competencies and experiences may take precedence. Staffing exceptions to the above must be approved by the hiring manager's leader and HR Business Partner. Values: Regularly and consistently demonstrates Nationwide Values. Job Conditions: Overtime Eligibility: Not Eligible (Exempt) Working Conditions: Normal office environment. ADA: The above statements cover what are generally believed to be principal and essential functions of this job. Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties. Benefits We have an array of benefits to fit your needs, including: medical/dental/vision, life insurance, short and long term disability coverage, paid time off with newly hired associates receiving a minimum of 18 days paid time off each full calendar year pro-rated quarterly based on hire date, nine paid holidays, 8 hours of Lifetime paid time off, 8 hours of Unity Day paid time off, 401(k) with company match, company-paid pension plan, business casual attire, and more. To learn more about the benefits we offer, click here. Nationwide is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive culture where everyone feels challenged, appreciated, respected and engaged. Nationwide prohibits discrimination and harassment and affords equal employment opportunities to employees and applicants without regard to any characteristic (or classification) protected by applicable law. NOTE TO EMPLOYMENT AGENCIES: We value the partnerships we have built with our preferred vendors. Nationwide does not accept unsolicited resumes from employment agencies. All resumes submitted by employment agencies directly to any Nationwide employee or hiring manager in any form without a signed Nationwide Client Services Agreement on file and search engagement for that position will be deemed unsolicited in nature. No fee will be paid in the event the candidate is subsequently hired as a result of the referral or through other means.
Posted 5 days ago
Senior Consultant - Risk Advisory (Strategic and Operational Risk Management)
CrossCountry ConsultingMcLean, VA
From the beginning, our goal was to establish an advisory firm that stands apart from the rest – one that is grounded in our Core Values and dedicated to creating a positive experience not just for our clients, but for our people too. We firmly believe in the strength of collaboration, enthusiasm, generosity, and perseverance as the driving forces behind our success. With advisory solutions spanning accounting and risk, technology-enabled transformation, and transactions, we partner with our clients to solve today’s challenges and deliver present and future value. Our commitment to our people has earned us numerous awards including Inc5000's Fastest Growing Companies and Glassdoor's Best Places to Work. Explore what our employees have to say about our unique culture by clicking here . What You'll Do: Provide excellent client service and develop and nurture client relationships, serving as a liaison between clients and project teams, understanding their business needs, and delivering responsive and high-quality service Apply specialized knowledge to strategic and operational risk domains, and demonstrate broad acumen across facets of risk domains including resiliency, data, models, artificial intelligence (AI), third party risk management (TPRM), privacy, and process & transaction risk Collaborate to help lead development of compelling, easy-to-consume, data-driven deliverables that pragmatically solve client problems Structure, implement, and synthesize research and analysis on a range of key industry developments and trends to inform client deliverables, proposals, marketing materials, and market strategies Lead CrossCountry teams on engagements such as: Strategy & Transformation: Program design and build, Operating model development, Maturity assessments and roadmaps, Metrics & Reporting and Technology enablement Risks & Controls: Risk register & mapping, Risk assessments, RCSAs, Internal audit, Control testing, Risk treatment and Issues management Regulatory Compliance: Regulatory mapping, Assessments and roadmaps, Advisory, Preparedness & Remediation What You'll Bring: 2+ years prior experience in professional services (public accounting, advisory firm, or management consulting firm) A working knowledge with major strategic and operational risk frameworks, standards and regulations such as NIST CSF, CRI Cybersecurity Profile, ISO 27000 series, Basel Operational Risk Principles, GDPR, DORA, Interagency Guidelines, EU AI Act etc. Understanding of comprehensive risk management programs, including governance, policy, organizational design, awareness and training, architecture, technologies, processes, and controls Passion for learning new technologies and staying current with trends in cyber, technology, and operational risk management. Qualifications: Bachelor’s degree from an accredited university Professional certification (CISA, CISM, CISSP, CIPT, CIPP, CIPM). Willingness to travel domestically up to 20%-30% (varies by client). Availability to work on client site or in office 3 days a week, with 2 days remote (hybrid environment). #LI-Hybrid #LI-BW1 Benefits Summary The CrossCountry total rewards package includes comprehensive healthcare options, including medical, dental, and vision coverage; flexible spending accounts; and a 401(k) with company matching. Additionally, employees can take advantage of generous parental and maternity leave policies, technology stipends, and wellness reimbursement programs, all designed to support both professional growth and personal well-being. For detailed information about benefits at CrossCountry, please visit our dedicated benefits site: https://www.crosscountry-consulting.com/careers/benefits/ . Equal Employment Opportunity (EEO) CrossCountry provides equal employment opportunities (EEO) to all employees and applicants for employment and believes that respect and fair treatment are critical to creating a productive and inclusive workplace. As an equal opportunity employer, CrossCountry is fully committed to comply with all federal, state, and local laws and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability, pregnancy, genetics, sexual orientation, veteran status, gender identity or expression or any other protected characteristic. The company also complies with pay transparency and labor laws applicable to all terms and conditions of employment.
Posted 30+ days ago
Credit Risk Analyst, Risk Management
InvenergyChicago, Illinois
This position will be open for application for at least 3 calendar days from the posting date. This position will remain open for application based on business need, which may be before or after the 3-day posting window. Job Description Position Overview The Credit Risk Analyst, Risk Management will report to the Director - Risk Management and will be responsible for performing counterparty risk assessments, credit adjudication, related onboarding activities and leading the trade confirmations process in support of managing the risk profile of Invenergy’s global renewable and thermal generation portfolio. The position will work with internal and external stakeholders in accordance with the company’s risk and other policies. Responsibilities Support Risk Management team in performing counterparty risk assessments, including credit reviews which leverage financial statement and other material information Process daily trade confirmations ensuring data alignment and coordinate internal approvals as necessary Onboard new counterparties and contracts into ETRM and other systems Collaborate with internal and external stakeholders in maintaining and monitoring credit rating watchlist Review/monitor counterparty credit exposures, collateral postings and limits Maintain view of market dynamics and regulations across multi-national company footprint Ensure compliance with Credit, Risk and other policies Required Skills Bachelor's degree in Economics, Finance, Accounting, or similar field. Knowledge of credit analysis and management in related industry or field Sound understanding of financial statements and analysis Eligible to work in the United States without the need for employer visa sponsorship now or in the future Preferred Skills 1+ years of relevant experience Energy industry experience preferred. Experience in a trading environment with an ETRM such as Allegro preferred. Excellent analytical, quantitative, and modelling skills with strong attention to detail and a demonstrated ability to develop models in Excel. Understanding of market risk associated with gas and power trading activity preferred. Contract experience with ISDAs, NAESBs, PPAs, RECs, and EEIs is a plus. Strong communication and interpersonal skills. Ownership of and follow-through on commitments, with a demonstrated ability and desire to continuously improve. Excellent organizational skills and ability to prioritize effectively. Ability to work independently with little supervision as well as in a team environment. Ability and desire to work in a fast-paced, entrepreneurial environment with tight timelines. Base Pay 26.44/hr - 31.25/hr USD Bonus: 15% The base pay range reflects the minimum and maximum target salary for the position. Invenergy considers a number of factors when determining base pay offers such as the scope and responsibilities of the position and the candidate's experience, education and skills. In addition to base pay, the total annual compensation package may also include eligibility to participate in our bonus program(s) which are designed to reward individual and company performance. Your recruiter can share more about bonus eligibility for this position during the hiring process. Invenergy offers a variety of other benefits including medical, dental and vision insurance, 401k, paid time off, etc. Invenergy LLC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to, among other things, race, color, religion, sex, sexual orientation, gender identity, national origin, age, status as a protected veteran, or disability.
Posted 6 days ago
Risk Management Business Systems Analyst - Investment Management Technology
MassMutual Financial GroupSpringfield, MA
Business Systems Analyst - Investment Management Technology (ETX) (Hybrid, Boston) Do you want to be part of a team that encourages your growth, supports your ambitions and makes it a priority for you to reach your goals? Is helping people part of who you are? MassMutual assists millions in achieving financial freedom, providing protection and future planning. We do this by building trust with our customers by being knowledgeable problem solvers and prioritize their needs above all else. We Live Mutual. The Opportunity This position is required to provide subject matter expertise for Market and Credit Risk related applications including Portfolio Asset Liability Management system. Recognized as subject matter expert in business analysis field. Has responsibility for instructing, directing, and checking the work of other Business Analysts. Formulate and define business and/or systems scope and objectives based on both user needs and a thorough understanding of industry requirements. Devise or modify procedures to solve highly complex problems considering limitations, operating time, and form of desired results. Provide analysis of business and user needs, documentation of requirements, and translation into proper business and/or system requirements. Consider the business implications of the application of technology to the current and future business environment. Act as a team leader for complex projects. The Team You will be joining MassMutual's Investment Management Technology team. Our mission is to build reliable automation solutions for the Quant Research and Development business team. You will be part of a team that is technical, highly motivated and excels at working in a fast paced and always evolving environment with agility and resilience. The Impact: The Business Systems Analyst is responsible for the analysis, design, and testing of complex applications and system integration processes supporting MassMutual's Investment Management Unit. This role supports strategic investment initiatives within these areas and ensures recommended solutions are aligned with business and MassMutual IT strategies while adhering to relevant technology standards. This role leverages problem solving and analytical skills to design technical solutions related to data management and system integration challenges and contributes to troubleshooting efforts across multiple functional areas including General Investment Accounts, Separate Investment Accounts, Securities & various technology platforms supporting Investments. This is a critical role in maintaining the cohesion between the business stakeholders and the technology delivery teams. It requires a deep and broad technology background conducive to that found in a "master application developer" but this is not a development position but will participate and guide technology decisions and best practices. It also requires a strong work ethic, the ability to work independently or in collaboration, exceptional communication skills, and knowledge of, or the aptitude to learn the investment management data domain. Perform analysis of business process, procedures, data and rules Experience with data-centric architectures, multi-dimensional time series, and techniques to guarantee robust data integrity Demonstrated ability to identify and understand critical business features that drive value, and translate those into solid technical solutions Excellent written and oral communication skills, ability to effectively and confidently interact with business and technical personnel, at all levels in the organization Proven technical leadership and mentoring skills Strong knowledge of the investment management industry, asset liability management, and risk management across multiple asset classes, public and private, including derivatives Candidates must combine an attention to detail with the ability to see the big picture Demonstrated ability to communicate effectively using verbal and written methods to all levels of an organization Proficient with standard documentation tools (Visio, Excel, Word) Capable of applying knowledge to handle all but the most complex problems independently Drives continuous improvement and efficiencies beyond own scope of responsibility The Minimum Qualifications Bachelor's degree 8+ years of experience with designing and implementing complex solutions 5+ years of investment data experience with an understanding of systems and data management 5+ years of experience with investment management systems (from front office to middle office, to back office) 5+ years of data analysis experience working with large data sets and multiple sources of data The Ideal Qualifications Technical Skills Expert user of excel and proficient with SQL/Oracle query tools Ability to apply technical and business knowledge across multiple business functions Ability to work in close collaboration with project/program managers, architects, developers, and testers to optimize the quality of the developed product Skilled in interacting between internal business partners, internal IT teams, and offshore partners Ability to effectively estimate time to complete design and development tasks Influence design & architecture inclusive of technical (non-functional) requirements Ability to communicate clearly and to simplify complex topics for a wide range of audiences (both written and verbal) Ability to work through complex issues, identify themes, and develop solutions, in time-critical situations. Ability to develop a strong understanding of business processes and functional requirements and skill to be able to translate business requirements into succinct functional / technical specifications, experience writing ETL requirements, and providing close oversight of specifications Ability to quickly learn new technologies and platforms Ability to adhere to project schedules and meet deadlines in the execution of job responsibilities Soft Skills Self-managed and motivated individual with strong leadership skills. Excellent written, oral and presentation skills. Works with minimal oversight and proactively communicates status and risks to project leadership. Ability to work well in a team environment. #LI-RK1 Salary Range: $121,800.00-$159,800.00 At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. Why Join Us. We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard. We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual. MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.
Posted 2 weeks ago
Risk Management Business Systems Analyst - Investment Management Technology
MassMutual Financial GroupBoston, MA
Business Systems Analyst - Investment Management Technology (ETX) (Hybrid, Boston) Do you want to be part of a team that encourages your growth, supports your ambitions and makes it a priority for you to reach your goals? Is helping people part of who you are? MassMutual assists millions in achieving financial freedom, providing protection and future planning. We do this by building trust with our customers by being knowledgeable problem solvers and prioritize their needs above all else. We Live Mutual. The Opportunity This position is required to provide subject matter expertise for Market and Credit Risk related applications including Portfolio Asset Liability Management system. Recognized as subject matter expert in business analysis field. Has responsibility for instructing, directing, and checking the work of other Business Analysts. Formulate and define business and/or systems scope and objectives based on both user needs and a thorough understanding of industry requirements. Devise or modify procedures to solve highly complex problems considering limitations, operating time, and form of desired results. Provide analysis of business and user needs, documentation of requirements, and translation into proper business and/or system requirements. Consider the business implications of the application of technology to the current and future business environment. Act as a team leader for complex projects. The Team You will be joining MassMutual's Investment Management Technology team. Our mission is to build reliable automation solutions for the Quant Research and Development business team. You will be part of a team that is technical, highly motivated and excels at working in a fast paced and always evolving environment with agility and resilience. The Impact: The Business Systems Analyst is responsible for the analysis, design, and testing of complex applications and system integration processes supporting MassMutual's Investment Management Unit. This role supports strategic investment initiatives within these areas and ensures recommended solutions are aligned with business and MassMutual IT strategies while adhering to relevant technology standards. This role leverages problem solving and analytical skills to design technical solutions related to data management and system integration challenges and contributes to troubleshooting efforts across multiple functional areas including General Investment Accounts, Separate Investment Accounts, Securities & various technology platforms supporting Investments. This is a critical role in maintaining the cohesion between the business stakeholders and the technology delivery teams. It requires a deep and broad technology background conducive to that found in a "master application developer" but this is not a development position but will participate and guide technology decisions and best practices. It also requires a strong work ethic, the ability to work independently or in collaboration, exceptional communication skills, and knowledge of, or the aptitude to learn the investment management data domain. Perform analysis of business process, procedures, data and rules Experience with data-centric architectures, multi-dimensional time series, and techniques to guarantee robust data integrity Demonstrated ability to identify and understand critical business features that drive value, and translate those into solid technical solutions Excellent written and oral communication skills, ability to effectively and confidently interact with business and technical personnel, at all levels in the organization Proven technical leadership and mentoring skills Strong knowledge of the investment management industry, asset liability management, and risk management across multiple asset classes, public and private, including derivatives Candidates must combine an attention to detail with the ability to see the big picture Demonstrated ability to communicate effectively using verbal and written methods to all levels of an organization Proficient with standard documentation tools (Visio, Excel, Word) Capable of applying knowledge to handle all but the most complex problems independently Drives continuous improvement and efficiencies beyond own scope of responsibility The Minimum Qualifications Bachelor's degree 8+ years of experience with designing and implementing complex solutions 5+ years of investment data experience with an understanding of systems and data management 5+ years of experience with investment management systems (from front office to middle office, to back office) 5+ years of data analysis experience working with large data sets and multiple sources of data The Ideal Qualifications Technical Skills Expert user of excel and proficient with SQL/Oracle query tools Ability to apply technical and business knowledge across multiple business functions Ability to work in close collaboration with project/program managers, architects, developers, and testers to optimize the quality of the developed product Skilled in interacting between internal business partners, internal IT teams, and offshore partners Ability to effectively estimate time to complete design and development tasks Influence design & architecture inclusive of technical (non-functional) requirements Ability to communicate clearly and to simplify complex topics for a wide range of audiences (both written and verbal) Ability to work through complex issues, identify themes, and develop solutions, in time-critical situations. Ability to develop a strong understanding of business processes and functional requirements and skill to be able to translate business requirements into succinct functional / technical specifications, experience writing ETL requirements, and providing close oversight of specifications Ability to quickly learn new technologies and platforms Ability to adhere to project schedules and meet deadlines in the execution of job responsibilities Soft Skills Self-managed and motivated individual with strong leadership skills. Excellent written, oral and presentation skills. Works with minimal oversight and proactively communicates status and risks to project leadership. Ability to work well in a team environment. #LI-RK1 Salary Range: $121,800.00-$159,800.00 At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. Why Join Us. We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard. We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual. MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.
Posted 2 weeks ago
Risk Management Business Systems Analyst - Investment Management Technology
MassMutual Financial GroupNew York, NY
Business Systems Analyst - Investment Management Technology (ETX) (Hybrid, Boston) Do you want to be part of a team that encourages your growth, supports your ambitions and makes it a priority for you to reach your goals? Is helping people part of who you are? MassMutual assists millions in achieving financial freedom, providing protection and future planning. We do this by building trust with our customers by being knowledgeable problem solvers and prioritize their needs above all else. We Live Mutual. The Opportunity This position is required to provide subject matter expertise for Market and Credit Risk related applications including Portfolio Asset Liability Management system. Recognized as subject matter expert in business analysis field. Has responsibility for instructing, directing, and checking the work of other Business Analysts. Formulate and define business and/or systems scope and objectives based on both user needs and a thorough understanding of industry requirements. Devise or modify procedures to solve highly complex problems considering limitations, operating time, and form of desired results. Provide analysis of business and user needs, documentation of requirements, and translation into proper business and/or system requirements. Consider the business implications of the application of technology to the current and future business environment. Act as a team leader for complex projects. The Team You will be joining MassMutual's Investment Management Technology team. Our mission is to build reliable automation solutions for the Quant Research and Development business team. You will be part of a team that is technical, highly motivated and excels at working in a fast paced and always evolving environment with agility and resilience. The Impact: The Business Systems Analyst is responsible for the analysis, design, and testing of complex applications and system integration processes supporting MassMutual's Investment Management Unit. This role supports strategic investment initiatives within these areas and ensures recommended solutions are aligned with business and MassMutual IT strategies while adhering to relevant technology standards. This role leverages problem solving and analytical skills to design technical solutions related to data management and system integration challenges and contributes to troubleshooting efforts across multiple functional areas including General Investment Accounts, Separate Investment Accounts, Securities & various technology platforms supporting Investments. This is a critical role in maintaining the cohesion between the business stakeholders and the technology delivery teams. It requires a deep and broad technology background conducive to that found in a "master application developer" but this is not a development position but will participate and guide technology decisions and best practices. It also requires a strong work ethic, the ability to work independently or in collaboration, exceptional communication skills, and knowledge of, or the aptitude to learn the investment management data domain. Perform analysis of business process, procedures, data and rules Experience with data-centric architectures, multi-dimensional time series, and techniques to guarantee robust data integrity Demonstrated ability to identify and understand critical business features that drive value, and translate those into solid technical solutions Excellent written and oral communication skills, ability to effectively and confidently interact with business and technical personnel, at all levels in the organization Proven technical leadership and mentoring skills Strong knowledge of the investment management industry, asset liability management, and risk management across multiple asset classes, public and private, including derivatives Candidates must combine an attention to detail with the ability to see the big picture Demonstrated ability to communicate effectively using verbal and written methods to all levels of an organization Proficient with standard documentation tools (Visio, Excel, Word) Capable of applying knowledge to handle all but the most complex problems independently Drives continuous improvement and efficiencies beyond own scope of responsibility The Minimum Qualifications Bachelor's degree 8+ years of experience with designing and implementing complex solutions 5+ years of investment data experience with an understanding of systems and data management 5+ years of experience with investment management systems (from front office to middle office, to back office) 5+ years of data analysis experience working with large data sets and multiple sources of data The Ideal Qualifications Technical Skills Expert user of excel and proficient with SQL/Oracle query tools Ability to apply technical and business knowledge across multiple business functions Ability to work in close collaboration with project/program managers, architects, developers, and testers to optimize the quality of the developed product Skilled in interacting between internal business partners, internal IT teams, and offshore partners Ability to effectively estimate time to complete design and development tasks Influence design & architecture inclusive of technical (non-functional) requirements Ability to communicate clearly and to simplify complex topics for a wide range of audiences (both written and verbal) Ability to work through complex issues, identify themes, and develop solutions, in time-critical situations. Ability to develop a strong understanding of business processes and functional requirements and skill to be able to translate business requirements into succinct functional / technical specifications, experience writing ETL requirements, and providing close oversight of specifications Ability to quickly learn new technologies and platforms Ability to adhere to project schedules and meet deadlines in the execution of job responsibilities Soft Skills Self-managed and motivated individual with strong leadership skills. Excellent written, oral and presentation skills. Works with minimal oversight and proactively communicates status and risks to project leadership. Ability to work well in a team environment. #LI-RK1 Salary Range: $121,800.00-$159,800.00 At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. Why Join Us. We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard. We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual. MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.
Posted 2 weeks ago
Tax Quality Control And Risk Management Senior Manager, Director Or Partner
WeaverSan Antonio, TX
The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to the world of accounting, which includes creating a diverse, collaborative, and entrepreneurial workplace culture. Our leaders truly care about the well-being of all our employees and encourage them to pursue their ambitions. While our business is based in numbers, our success is truly based on people. It's why we commit to supporting our people not just in their professional growth, but also in their ability to lead balanced, integrated lives. At the foundation of that commitment are our core values. Weaver's core values were created specifically to empower our people to deliver extraordinary service and be their best selves. Our goal is to balance high development with high performance in order to meet the long-term goals of each individual, team, and our firm. Learn more about our services, industry experience and culture at weaver.com. Position Profile Weaver seeks to add a Tax Quality Control and Risk Management Senior Manager, Director, or Partner to our growing team. The ideal candidate should possess strong verbal and writing skills, as well as deep technical tax expertise in one or more of the following areas of tax law: Compensation and benefits Corporate tax Estate, gift, and generation-skipping transfer tax Fiduciary income tax Individual income tax International tax Oil and gas taxation Partnership taxation IRS practice and procedure Real estate taxation S corporation taxation Education and Experience: Bachelor's degree in Accounting or related field Master's degree in Accounting or related field preferred CPA with 10+ years of experience in public accounting or consulting Compensation and Benefits: At Weaver, our most valuable resource is our people. We take the time to evaluate our employees' wants and needs and invest our resources accordingly. A reasonable estimate of the compensation range for this position is $120,000 to $450,000 in the California and New York Metropolitan areas. Actual compensation will be based on a variety of factors including but not limited to experience, skills, certifications, and geographical location. In addition to compensation packages, Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan. Further, we support our employees by offering flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days! Learn more here - Weaver benefits. We also offer in-house CPE and learning opportunities through our internal Learning & Development department. Our multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth. Our goal is to balance both high development with high performance to meet the long-term goals of each individual, team, and our firm. WeaverLEAD We are committed to investing in the strength of our team. That is why we have created an internal leadership coaching program to train leaders to support other leaders at every level of the organization. The goal of WeaverLEAD is to inspire the growth and development of our leaders by: Leaning into the experience of exploring new ideas for each individual's growth as a leader. Engaging the coaching mindset at work with new ways of thinking about challenges and opportunities. Adapting to the transformation that takes place as a result of participating in the program. Developing yourself and others with coaching competencies to create a firm-wide culture of coaching. People are our formula! At Weaver, we recognize that everyone brings different strengths, backgrounds, and working styles to our team. We cultivate a safe and inclusive work environment that celebrates each individual's unique qualities through visibility, progression, advocacy, and support. We are proudly an equal opportunity employer. What's next? Interested applicants should apply directly to the job posting. You may apply to multiple roles. Be sure to upload your most recent resume and ensure that it is attached to your application. By registering, you are only activating an account and creating a presence. Please apply directly to a position of interest. You will receive a confirmation email after completing an application for a role. After reviewing your application, a friendly Weaver Recruiter will contact you soon and walk you through the hiring process. Thank you for exploring a career with us. We look forward to meeting you! Currently, we are not accepting resume submissions from third-party staffing agencies for this role. This role is Employee Referral Program eligible.
Posted 30+ days ago
Mgr Risk Management Business Team
Cambia HealthBellevue, WA
Risk Management Business Team Manager Work from Home within Oregon, Washington, Idaho or Utah Build a career with purpose. Join our Cause to create a person-focused and economically sustainable health care system. Who We Are Looking For: Every day, Cambia's dedicated Risk Management Business Team Manager is living our mission to make health care easier and lives better. As a member of the Risk Adjustment team, our Risk Management Business Team Manager is responsible for complying with CMS mandates to submit Enrollment, Medical Claim and Pharmacy Claim data for Reinsurance and Risk Adjustment programs. Leads a team dedicated to extracting required information from the source systems into a staging area, performing validation checks based on CMS Edge Server Business Rules, and submitting correct data to the Edge Server via a translation process. - all in service of creating a person-focused health care experience. Do you have a passion for serving others and learning new things? Do you thrive as part of a collaborative, caring team? Then this role may be the perfect fit. What You Bring to Cambia: Qualifications: The Manager, Risk Management Business Team would have a Bachelor's degree in Business, Data Analysis or other related field and 10 years' experience with data analysis, process modeling or equivalent combination of education and experience. Skills and Attributes: Strong analytical skills including the ability to analyze complex data and situations, learn quickly and synthesize corresponding solutions, options and action plans. Ability to understand, translate and communicate complex ideas and situations to a wide variety of audiences. Excellent research and problem solving skills including the ability to determine action steps and remediation actions to resolve issues. Strong knowledge of risk adjustment systems and processes. Demonstrated experience in business areas, working with business requirements, documentation and data systems. Strong knowledge of project management processes and practices including experience leading large, complex initiatives. Knowledge of medical terminology and procedure coding. Ability to communicate effectively verbally and in writing with all levels of staff. Ability to develop and lead a team including: hiring, goal setting, motivating, coaching and staff development. What You Will Do at Cambia: Corroborates closely with the IT, compliance, legal, revenue management, claims, enrollment, product teams and other departments to maximize and maintain submission measurements Helps oversee RADV audits, submits data in a timely manner and prepares executive reports. Develops medical underwriting rules for the Risk Management business system which accurately reflect the rating strategy and drive achievement of company revenue targets. Directs business projects and is responsible for the development and delivery of project performance criteria and objectives. Ensures day-to-day operations are appropriately supported by the Risk Management business team, identifying issues and recommending solutions. Develops and reviews business policies, processes and practices to ensure seamless coordination with the Risk Management business team. Develops, implements and monitors audit processes to ensure accurate utilization of the Edge Server system by assigned users. Responsible for training materials and delivery. Regularly interacts with the IT team, identifying issues and partnering on resolutions to ensure the data submission system is functioning accurately. Responsible for staff development, performance conversations, performance coaching and retention activities. Regularly communicates departmental and organizational goals and objectives to staff. Develops and maintains departmental policies and procedures and assures adherence to departmental standards and practices. Oversees the data submission system and ensures it is functioning accurately. Work Environment Work performed in the office or remote. Travel rarely required, locally, or out of State. The expected hiring range for a Mgr Risk Management Business Team is $110,500.00 - $148,400.00 depending on skills, experience, education, and training; relevant licensure / certifications; performance history; and work location. The bonus target for this position is 15%. The current full salary range for this role is $104,000.00 to $169,000.00. #LI-remote About Cambia Working at Cambia means being part of a purpose-driven, award-winning culture built on trust and innovation anchored in our 100+ year history. Our caring and supportive colleagues are some of the best and brightest in the industry, innovating together toward sustainable, person-focused health care. Whether we're helping members, lending a hand to a colleague or volunteering in our communities, our compassion, empathy and team spirit always shine through. Why Join the Cambia Team? At Cambia, you can: Work alongside diverse teams building cutting-edge solutions to transform health care. Earn a competitive salary and enjoy generous benefits while doing work that changes lives. Grow your career with a company committed to helping you succeed. Give back to your community by participating in Cambia-supported outreach programs. Connect with colleagues who share similar interests and backgrounds through our employee resource groups. We believe a career at Cambia is more than just a paycheck - and your compensation should be too. Our compensation package includes competitive base pay as well as a market-leading 401(k) with a significant company match, bonus opportunities and more. In exchange for helping members live healthy lives, we offer benefits that empower you to do the same. Just a few highlights include: Medical, dental and vision coverage for employees and their eligible family members, including mental health benefits. Annual employer contribution to a health savings account. Generous paid time off varying by role and tenure in addition to 10 company-paid holidays. Market-leading retirement plan including a company match on employee 401(k) contributions, with a potential discretionary contribution based on company performance (no vesting period). Up to 12 weeks of paid parental time off (eligibility requires 12 months of continuous service with Cambia immediately preceding leave). Award-winning wellness programs that reward you for participation. Employee Assistance Fund for those in need. Commute and parking benefits. Learn more about our benefits. We are happy to offer work from home options for most of our roles. To take advantage of this flexible option, we require employees to have a wired internet connection that is not satellite or cellular and internet service with a minimum upload speed of 5Mb and a minimum download speed of 10 Mb. We are an Equal Opportunity employer dedicated to a drug and tobacco-free workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, age, sex, sexual orientation, gender identity, disability, protected veteran status or any other status protected by law. A background check is required. If you need accommodation for any part of the application process because of a medical condition or disability, please email CambiaCareers@cambiahealth.com. Information about how Cambia Health Solutions collects, uses, and discloses information is available in our Privacy Policy.
Posted 30+ days ago
VP, First Line Risk Management, Data Risk Governance
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
LPL FinancialTempe, Arizona
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Job Description
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
The role reports directly to the SVP, Operations Risk & Controls under the Principal Operations Officer (“POO”) for LPL Financial. The position is a leadership role involved with participating in many areas within First Line Risk Management and being the team leader over the management, development, reporting, communication and thought leadership for First Line Data Governance, Operations Resiliency and Access Management Governance. The leader’s organization supports First Line Data Governance, Key Risk Indicators (KRI), data sourcing and formatting for Risk Reporting insight and monthly reporting, governance of the Beta Platform (Beta TPX and Thomason One), Operational Efficiency Tracking and risk liaison for development of and training in emerging risks within the Data and Access Management Risk domain. The leader and their team are responsible for the access controls and identity governance of Beta TPX and Thomson One applications, collaborating closely with InfoSec IAM Ops, 1st and 2nd line risk partners and internal business stakeholders throughout the first line business units. The leader also is responsible for executing as the point person for Operations Risk and Controls within the Data Center of Excellence (COE), working closely with, and developing deeper relationships with Operations Data Management teams and 2nd line Data Governance.
Responsibilities:
Be the foremost thought leader in the First Line for the identification of risks in the management of data, including EUCs, data lineage, data integrity, single source of the truth and identification of gaps within current processes when it comes to data management
Partner with Operations, Service and Trading sub-departments on bottoms up KRI and OKR development and reporting on a go forward basis, continuing to delve deeper until forward looking metrics and risk thresholds are developed
This leadership role is the Product Access and Governance Owner for the Beta Platform in the Operations Organization who own’s roles and access entitlements in collaboration with the IAM team in Technology
Governance of a formal identity and access management program for the Beta platform to enhance the governance of BORD restrictions, QC and control environment
Produce monthly and ad hoc reporting and dashboards for executive leadership across Operations, Service and Trading for Risk Management
Experience in operations, preferably with a Broker-Dealer, and securities product knowledge with strong understanding of respective controls and all categories of financial and non-financial operations risks
Understand the Beta related business reporting, data and emerging risk and technology need/trends, and apply a risk lens to their process to drive proper risk reporting, data analysis and support
Work with the Head of First Line Risk Management to establish and manage quarterly working groups with executive leadership of Operations, Service and Trading to deliver both risk and business reporting and dashboards while handling follow up escalations
Perform query and reporting analysis in support of data and risk within the Service, Trading and Operations departments which will include documenting data sources and mappings
Develop and maintain reports and dashboards for Regulatory Reporting, Fraud Operations, Operations and First Line Risk Management within Tableau and PowerBI
Leveraging Tableau, R-Studio, PowerBI, Alteryx and other analytical tools, identify trends or patterns to uncover issues that need to be addressed
Both lead and conduct research throughout the team, using analytical tools including visualization and statistical methods, while educating the team and end users/clients of the process, intangibles, and product
Will collaborate closely with individuals throughout the organization including Operations, Technology Risk, ERM, Compliance, Legal, Technology and Data Management, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of risk management
Manage work and projects with minimal oversight and take them from inception to execution, while partnering across the organization and defending challenge to work products and ideas
Develop and maintain procedures to enhance operational efficiency and effectiveness around all newly developed work and data activities
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
10+ years of industry experience within data management, analytics, statistical analysis, identity and access management, technology/system governance and reporting with at least 6+ years of extensive risk management background in the financial services industry (preferably with extensive data risk management background) in a large and mature risk management framework
5+ years of leadership experience with a demonstrated ability to be an effective team and work product leader
6+ years of utilizing Tableau, PowerBI or other BI Applications
Experience with Beta and preferably in management of roles and entitlements
Experience leading organizations through change and transformation with a track record of success, and motivating teams to deliver and create a best-in-class experience for Advisors
Solid understanding of security principles and data protection practices
Experience working with third-party suppliers including overseeing contracts, reporting metrics and SLAs
Core Competencies:
A penchant for continuous improvement and looking for different avenues to automate work and drive efficiencies
Highly proficient with using SQL, Tableau, and Excel (advanced formulas, macros, pivots, etc.)
Statistical Analysis, Hypothesis Testing, Model Development and Exploratory Analysis
Experience working leveraging data warehouses for reporting and analysis
Deep familiarity with IT security, access management and risk management practices
Strong knowledge of SQL, Python, R, Tableau (or other scripting language)
Strong people management and the ability to determine delegation of responsibilities in support of larger organizational deliverables and goals, while also being development minded to staff
Ability to leverage others' expertise and experience in identifying, evaluating, and mitigating risks within First Line Risk Management
Self-starter; must be a thought-leader, strategic thinker, and independent decision-maker
Establish and maintain strong relationships with external stakeholders, such as regulatory authorities and industry forums, to stay informed about new developments and participate in relevant industry discussions
Strong leadership abilities with the capacity to effectively lead and motivate a team, fostering a culture of accountability and high performance
Ability to think strategically by developing and implementing long-term plans to achieve organizational objectives
Ability to manage and lead effectively in an ever-changing environment (both corporate and regulatory), while managing the expectations of many projects and priorities at a time
Ability to work with and communicate effectively to various levels throughout the organization
Collaborates effectively with Technology, Product, Operations, Service, Trading, Compliance, 2nd line Risk Management and various other data teams across LPL
Strong attention to detail with a proactive approach to solving and preventing operational, financial, and regulatory risk
Ability to work under pressure/deadlines and manage multiple priorities, with effective communication to leadership via strong written and spoken communication skills
Excellent analytical and problem-solving skills, with the ability to translate complex data into actionable insights
Preferences:
SEC broker-dealer experience or experience with large, diversified financial services firms is preferred
Preferred major in Computer Science, Information Technology, Engineering, Statistics, MIS
Masters in a data related field
Certification in or experience working with Lean Six Sigma
Experience with machine learning techniques and best practices
Knowledge of or experience working with artificial intelligence
Proven track record of successfully designing and implementing IAM solutions in large, complex organization
Deep understanding of identity and access management principles, including access control models, authentication methods, and risk management
Experience working with third-party suppliers, relationship management, and SLAs
Pay Range:
$132,300-$220,500/yearCompany Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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