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Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. Role Overview: Under the direction of the AVP, Operational Risk, the Analyst, Operational Risk, will support the development and maintenance of operational risk programs and frameworks to ensure a transparent approach to defining, measuring, monitoring and reporting the firm's risks. The position will assist in helping to drive advancement and maturity of the Operational Risk Management programs, the maintenance and support of the Risk Assessments and Issue Management programs, as well as assisting in additional risk functions as needed. Responsibilities: <ul><li>Assist with the coordination and advancement of multiple risk management workstreams</li><li>Assist with the development, maintenance, performance, and reporting of operational risk assessments and processes.</li><li>Assist with the coordination and aggregation of risks for decision-making</li><li>Assist in the development of materials for management meetings, initiatives/status, etc.</li><li>Work in collaboration with multiple departments and business partners to create and manage issue populations</li><li>Ad hoc analysis and additional responsibilities as required.</li></ul>What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: <ul><li>BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline)</li><li>2+ years of experience in financial services</li></ul>Core Competencies: <ul><li>Effective communication, presentation, and writing skills.</li><li>Strong organizational skills with attention to detail and the ability to prioritize workload in order to meet deadlines in an environment of continually changing priorities.</li><li>Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment.</li><li>Detail orientated with strong analytical skills and ability to synthesize complex data.</li><li>High level of motivation and initiative to reach out and help other areas when necessary.</li></ul>Preferences: <ul><li>A high level of proficiency in MS Excel or SharePoint</li><li>Critical thinking and ability or willingness to escalate to leaders when needed to ensure timely deliverables</li></ul>Pay Range: $25.64-$42.73/hour 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! Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential. We are one team on one mission. We take care of our advisors, so they can take care of their clients. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work. Want to hear from our employees on what it's like to work at LPL? Watch this! We take social responsibility seriously. Learn more here Want to see info on our benefits? 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.

Analyst, Operational Risk Management

Morgan Stanley ("MS") is a global financial services firm that conducts its business through three principal business segments-Institutional Securities, Global Wealth Management via Wealth Management (WM), and Asset Management. WM's network includes approximately 15,000 Financial Advisors with total clientassets of over $1.5 trillion. WM provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit and lending, deposits and cash management, annuities, insurance, retirement, and trust services. The US Banks Morgan Stanley, N.A(MSBNA) and Morgan Stanly Private National Association (MSPBNA) provide cash management and lending products and services to serve the needs of WM and ISG clients. The Operational Risk VP Front Line Risk Officer will be responsible for the following: Responsibilities: • Support the Executive Director in executing First Line of Defense Oversight and monitoring program • Identify, measure, and report emerging risks while executing oversight and monitoring • Collaborate with stakeholder to confirm comprehensive and consistent practices are followed across MSBNA to allow for success and proactive management of risk • Confirm effective management metrics are in place to help identify and manage risk across products and service • Execute process risk and control assessments to evaluate the design and effectiveness of controls to mitigate risks including regulatory and operational risk • Identify and measure the strength and weaknesses of operational/regulatory controls using applicable risk based criteria • Prepare reporting and management presentations related to the Product Oversight program • Create draft reports and workpapers inclusive of Lessons Learned analysis as well as BAU monitoring • Manage, coach and support direct report(s) as applicable • Provide role references for remediation through the implementation of action plan • Manage tracking of applicable recommendations and action plans to execution • Comply with Firm and Bank procedure Qualifications: Experience: • Minimum 6-8 years of professional experience in financial services; risk management, finance compliance or audit • Bachelor's Degree in Finance or Accounting or a related discipline. • Banking experience is preferred • This is a hybrid role and requires to work from the office 3 days per week. Skills required: • Attention to detail, strong analytical, quantitative, and investigative problem-solving abilities. • Strong interpersonal, verbal and written communication skills; capable of clear and concise writing, making presentations to an internal audience and interacting with upper Management, colleagues and client • Ability to work in fast paced, high demand environment, both independently and as part of team • Strong project Management and reporting skill • Demonstrate experience with financial products inclusive of derivatives along with Trade Lifecycles, Corporate Events, Settlements and reconciliation activities. • Ability to work under tight deadlines while possessing the ability to manage priorities concurrently and effectively. • Strong knowledge of banking risk, regulatory and/or compliance rules and regulation • Ability to work in a matrixed organization; leveraging resources across the organization to complete deliverables. Expected base pay rates for the role will be between $120,000 and $180,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit program Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

U.S. Banks VP Operational Risk Front Line Risk Manager

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com The Operational Risk Reporting Manager is accountable for supporting the Operational Risk Management team in the development and ongoing implementation of the following: <ul><li>Risk Data - analyze, implement, and monitor Key Risk Indicators (KRI) and other metrics related to operational risk in the 1st/2nd Lines of Defense (LOD)</li><li>Risk Programs- assist in the implementation and enhancement of governance, risk management, and compliance (eGRC) tools and other programs</li><li>Risk Reporting - prepare presentations and reports for senior management and boards; analyze and enhance existing reports and support the implementation of automated risk reporting</li></ul>KEY ACCOUNTABILITIES <ul><li>As an expert on the design of risk metrics (Key Risk Indicators), advise 1LOD/2LOD risk functions and business lines in the design and documentation of new and existing metrics and best practices. Champion and facilitate the evolution of data and reporting systems to support ever-more-sophisticated and useful metrics.</li><li>Manage data quality and facilitate the ongoing documentation, enhancement, and refinement of regional risk reporting aligned with the Parent Bank and regulatory expectations.</li><li>Participate in, and support the creation of, new data sources or platforms as part of an ongoing effort to enhance the availability and aggregation of risk data in the US Region.</li><li>Update and maintain department policies and procedural documentation.</li><li>Maintain recordkeeping and filing systems to respond efficiently to exam and audit requests.</li><li>Analyze and recommend system and process changes to improve the efficiency and effectiveness of risk reporting, including automation of metrics, processes for calibrating metric limits, and creating dashboards to effectively report on risk.</li><li>Analyze requirements for risk reporting to design new or modified risk reports, working with the Parent and other groups to leverage existing MIS and data platforms.</li><li>Analyze manually-generated reports and provide requirements and coordinate the automation of key risk reports.</li></ul>AUTHORITIES/DECISION RIGHTS <ul><li>As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness.</li></ul>REQUIRED KNOWLEDGE AND SKILLS <ul><li>Strong risk management or related financial services experience</li><li>Previous experience in procedure documentation, policy development and risk programs</li><li>Excellent oral and written communication skills; strong attention to detail</li><li>Strong research skills and analytical capabilities</li><li>Ability to assimilate and interpret analysis and trends in order to reach conclusions regarding the type and magnitude of risk across all risk types and businesses for strategic decision making purposes</li><li>Ability to understand, identify, and measure risk across matrix organizations and apply logic/reasoning to identify, report, and manage risk appropriately</li><li>Strong relationship management skills and team-orientation</li><li>Superior time management skills, with ability to effectively prioritize</li></ul>PREFERRED SKILLS <ul><li>Undergraduate degree and/or 7-12 years of experience is preferred</li><li>Experience with MetricStream, Tableau, and/or PowerBI is a plus</li></ul>WORKING CONDITIONS Normal office environment or hybrid; however, the environment is fast-paced and demanding. Incumbent may occasionally be required to work outside normal working hours to meet tight timelines and multiple deliverables. Role may be considered for remote work. CULTURE Our CIBC risk culture is based on employees striving to exceed the expectations of ourselves and our leadership's identification and mitigation of risks in their daily responsibilities, not just in quarterly or annual monitoring/assessments. We all are accountable for managing risk. As an employee of CIBC the incumbent must conduct themselves (and foster an environment for others) in a manner consistent with our strong risk culture. This includes: <ul><li>Following all aspects of the CIBC Code of Conduct, as well as all applicable CIBC policies, frameworks, guidelines, processes and controls</li><li>At all times acting in accordance with our Purpose and shared values, to achieve our Bank's strategic goals</li><li>Understanding and following the qualitative and quantitative components of our Risk Appetite Statements</li><li>Completing all annual Corporate Mandatory Training and Testing modules, as well as any additional business-specific modules, as required and employing the learnings in daily activities and undertakings</li><li>Escalating matters through one of the appropriate channels identified in the CIBC Code of Conduct (i.e., HR, management, Ethics Hotline, Whistleblower, etc.) upon observing activities that may be inconsistent with CIBC's policies, frameworks, guidelines, processes and controls</li><li>Speaking up if witnessing behaviors that drive poor or unfair outcomes for clients, team members or other stakeholders</li><li>Escalating matters that can result in adverse market practices and outcomes, thereby negatively impacting CIBC's reputation as a leading financial institution</li></ul>At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $125K - $145K for the market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which may also include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays and 401(k), in addition to other special perks reserved for our team members. California residents - your privacy rights regarding your actual or prospective employment What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. <ul><li>We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.</li><li>Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.</li><li>We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.</li></ul>*Subject to plan and program terms and conditions What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Job Location IL-70 W Madison St, 9th Fl Employment Type Regular Weekly Hours 40 Skills Analytical Thinking, Banking, Control Frameworks, Operational Risks, Operation Risk Management, Regulatory Compliance, Risk Assessments, Risk Management

3 Operational Risk Jobs in United States