Risk and Compliance Analyst

Job Title: Risk and Compliance Analyst
Contract Duration: 12 months
Location: Baltimore, MD 21230 (Hybrid)

Hybrid
*** REQUIRED: 3 years of experience within financial services, risk management, operations, audit, compliance, or a related field

Global Wealth Management Operations provides brokerage, investment and financial services to hundreds of thousands of individual investors. We apply our expertise in serving institutional clients to create new opportunities for people to achieve their personal financial goals. *** has one of the largest retail brokerage networks, with numerous worldwide representatives and retail locations. Our services are tailored to each client's investment objectives, risk tolerance, and financial needs. Products include mutual funds, stocks, bonds, and alternative investments where appropriate, as well as banking, mortgages, insurance and annuities.

We have an immediate need for an temporary/contingent hire within the Wealth Management Operations Risk & Control Division. The overall goal of our team is to create value through mitigating risk for the firm, assisting with the remediation of identified issues, maintaining ongoing governance for our internal stakeholders and providing comprehensive reporting for WM Operations Management. This role will provide ongoing governance and oversight to ensure Wealth Management Operations Product Operations and Services (POS) silo adherence to firm policies and support risk reporting. The hire will report to a Wealth Management Operations Director and will perform a variety of tasks to help maintain and improve the risk landscape for POS department. Specific assignments will vary based on size and complexity.

Key Responsibilities:
Provide statistical and monitoring reporting on risk metrics, registrations, and other requirements as needed
Independently review, challenge, and support risk management activities including efficiency enhancements to current procedures
Become familiar with all operational activities of the department, aiding in the ability to identify process and control weaknesses.
Identify operational risks and emerging trends through analysis of assessment results, key risk indicators and risk event data. Escalate material operational risk issues and incidents to relevant functional management and/or the relevant committees as appropriate. Evaluate the effectiveness of risk mitigation projects and corrective actions.
Facilitate the Non-Financial Risk Assessment (NFRA) process.
Consult with internal groups such as Firm Operational Risk, Enterprise Operational Risk Control, Compliance, Legal, and other Operations teams on matters related to risk controls, self-assessments, incidents and infrastructure projects
Participate in topical or ad-hoc risk/control projects, as needed.
Cross train on support of central risk reporting, test accounts or registrations.

Qualifications:
3 years of experience within financial services, risk management, operations, audit, compliance, or a related field.
Strong analytical and problem-solving skills, with the ability to identify root causes and recommend practical solutions.
Experience analyzing data and preparing management reporting using tools such as Excel, Power BI, Tableau, Alteryx, or similar reporting platforms.
Excellent written and verbal communication skills, with the ability to communicate effectively with management and stakeholders across multiple levels.
Strong organizational skills with the ability to manage multiple priorities and meet deadlines in a fast-paced environment.
Demonstrated ability to build relationships and collaborate across business and support functions.
Knowledge of operational risk management, audit practices, control frameworks, and governance processes preferred.
Bachelor's degree or equivalent work experience required.
Experience supporting audit coordination, issue management, remediation tracking, and risk reporting is strongly preferred.

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