Operational Risk/Regulatory Analyst - Mid-Level

Job Description

Operational Risk/Regulatory Analyst - Mid-Level:
On behalf of our Financial Services client, Procom is searching for an Operational Risk/Regulatory Analyst - Mid-Level for a potential permanent role. This position is a hybrid position with 4 days onsite at our client’s Westlake, TX office.

Operational Risk/Regulatory Analyst - Mid-Level - Job Description:
Our client is seeking a Sr. Manager to provide 2nd line Risk Management oversight of business processes and administer key elements in support of its Enterprise Operational Risk and Compliance strategy. The successful candidate will report to the Director, Risk Management and Compliance and will be responsible for overseeing business risk activities, identifying compliance vulnerabilities, and helping develop corrective action plans.

Operational Risk/Regulatory Analyst - Mid-Level - Responsibilities:
• Provide risk and compliance advice to Investment Oversight, Accounting, and other business units
• Collaborate with internal business partners to ensure adherence to regulatory, contractual, and internal policy requirements
• Work with the business and risk team to identify potential areas of vulnerability and opportunities to enhance compliance
• Drive development of monitoring and testing plans and policy documentation
• Implement and execute our client's Risk Management program, including Compliance testing
• Collaborate with business stakeholders to improve risk and compliance programs
• Carry out other duties assigned, including strategic project work

Operational Risk/Regulatory Analyst - Mid-Level - Mandatory Skills:
• Bachelor’s Degree in Finance, Law, Business Administration, Accounting, or related field
• 6+ years of financial industry experience in investment oversight/monitoring
• Working knowledge of Risk Management concepts and their applicability to investment management
• Ability to interpret and apply complex regulations to business operations
• Advanced proficiency in Microsoft 360 programs
• Excellent written and verbal communication skills
• Exceptional attention to detail and ability to manage multiple initiatives

Operational Risk/Regulatory Analyst - Mid-Level – Nice-to-Have Skills:
• Advanced degree (JD, MBA) or certifications (CAIA, CFA, CFP, CPA)
• Experience with complex investment structures, including Alternative Investments
• Experience with philanthropic structures and impact investing
• Experience in artificial intelligence governance and modeling
• Experience in the Broker-Dealer and RIA space

Operational Risk/Regulatory Analyst - Mid-Level – Assignment Length:
Potential conversion to a permanent position for the right candidate.

Operational Risk/Regulatory Analyst - Mid-Level - Start Date:
ASAP

Operational Risk/Regulatory Analyst - Mid-Level - Assignment Location:
Westlake, Texas, United States; hybrid work model with 4 days onsite and remote on Fridays.