DescriptionBe part of our EMEA Legal Entity Risk Assessment Operations team, where you will coordinate and conduct risk assessments across 30 legal entities. Our team ensures compliance and operational risks are identified and managed effectively, supporting decision-making at the highest levels. Collaborate with business and functional control managers to deliver comprehensive risk assessments that meet regulatory requirements.
As a Compliance Risk Assessor within EMEA LE Risk Assessment Operations team, you will be involved in developing Compliance Risk Assessments (CRAs) through complex data and business analysis, to assess and report on compliance risks related to laws, regulations, and legal obligations, utilizing enriched mapped data for risk analysis at both Firmwide and Line of Business levels. It involves collaboration with the location control manager, business and functional control managers, and Compliance, Conduct and Operational Risk (CCOR) teams during the assessment process, as well as aggregating and evaluating multiple data sources to inform the CRA. The findings from the LERA are presented to the legal entity Board as part of an annual regulatory requirement.
Job Responsibilities
- Collate and analyze quantitative and qualitative data sources for risk assessments.
- Reconcile the firm’s legal obligation repository with the CORE platform for completeness.
- Analyze complex compliance risk data to identify key risk drivers within legal entities.
- Coordinate the Legal Entity Community of Practice, including meeting preparation and action tracking.
- Track and report progress against LERA key milestones.
- Draft the Compliance Risk Assessment using data extracts and expert commentary.
- Manage CCOR challenges in coordination with relevant control managers.
- Build strong relationships with data providers and understand the business profile of assessed legal entities.
Required Qualifications, Capabilities, and Skills
- Experience in Controls, Legal Obligations, Operational, or Compliance Risk Management is beneficial.
- Strong team player with excellent partnering and influencing skills.
- Highly motivated self-starter with ownership and initiative.
- Strong organizational skills with a focus on quality and prioritization.
- Investigative mindset with the ability to see issues at both high and detailed levels.
- Strong analytical, problem-solving, and process re-engineering skills.
- Proficiency in CORE, ELA, Excel, PowerPoint, and Alteryx is preferable.
- Exceptional verbal and written communication skills.
- Confident in communicating with and influencing stakeholders.
- Good judgment and maturity to identify and escalate risks appropriately.