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Wealth Management - Securities Operations Risk & Control, Associate

Req #: 180022269
Location: Newark, DE, US
Job Category: Operations
Potential Referral Amount: 0 US Dollar (USD)

Operations Control Team (Assocaiate)

The Operations Control team sits within the business and acts as an independent body to test the controls of the organization, highlight the health of the organization and provide detective and preventative tools for the business to use to mitigate risk. 
The individual will join the Wealth Management Operations Governance and Control team which aims to maintain and continue improving the risk and control environment, providing specific support for US Operations and Fiduciary Services Support.  Broad responsibilities include managing the Business Resiliency Strategy, supporting RCSA activities, coordinating any compliance testing and audit requests for internal and external partners, reviewing policies and procedures to ensure no control gaps exist.
This individual is expected to manage small-medium scale initiatives that require collaboration with Wealth Management Operations teams around the globe. The position requires direct interface across all levels of management and so intermediate-advanced communications competency is required.  Strong time management and organizational skills are essential to success in this role, as well as the ability to identify the need to escalate when appropriate.


  • Strong communications and interpersonal skills, including dispute resolution
  • Detail oriented and committed to consistent quality
  • Excellent time and project management skills
  • Effective in a team setting but is also a self-starter
  • Excellent computer skills: MS Office Suite (PowerPoint, Word, Excel, Access)
  • Strong analytical and problem-solving ability
  • Highly motivated
  • Able to operate with minimal oversight
  • Can quickly adapt to work flow variation and change
  • Forward-looking and creative thinker
  • Ops 99 or equivalent (if none, will need to address this requirement within 90 days of starting the role)
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