Position Details

Salary $64K – $107K USD / year

Type Not Specified

Experience executive

Exp. Years Not specified

Education Not specified

Category Operations & Logistics

About this role

This Director role in WM Operations supports the CMCPR Risk Team to ensure Capital Markets Core Processing & Risk processes are controlled, compliant, and efficient. The position manages operational risk activities such as reviews, independent monitoring, risk assessments, audit coordination, and process testing and reporting.

Key Responsibilities

Support operational risk management and control execution for Capital Markets processes
Conduct reviews, independent monitoring, and risk assessments (iNFR-A)
Design and execute testing via test scripts and process walkthroughs
Coordinate external audits (SOC1, 10-K, FICCA) and support internal compliance exams
Manage key risk metrics, analyze incidents (ORI), and drive process/control improvements

Technical Overview

The technical scope is control and risk testing for Capital Markets operations, covering trade support (including Crypto), settlement and clearance (including DTC, FED, stock leading, fail management & buy-ins), asset transfers (ACAT, DRS, DWAC, Physicals), and corporate actions (Mandatory/Voluntary/Income & Dividend). It includes control design, iNFR-A risk assessments, incident (ORI) review, and executing test scripts with results reporting for management.

Ideal Candidate

The ideal candidate is a Director-level operational risk and control specialist with deep experience in Capital Markets Core Processing & Risk workflows, including trade support, clearance, settlement, asset transfers, and corporate actions. They have strong risk governance capabilities (iNFR-A, control design, independent monitoring), can manage audits (SOC1, 10-K, FICCA), and are skilled at process testing, reporting, and team leadership.

Must-Have Skills

Operational risk managementensuring desktop procedure and supervisory procedures existconducting reviews to assess completion and performancereviewing compliance with firm policies and regulatory expectationsfacilitating Risk Assessments (iNFR-A)control designindependent monitoringanalyzing key risk metricsmanage internal audits and compliance reviewscoordinate external audits (SOC110-KFICCA)

Required Skills

operational risk managementrisk assessments (iNFR-A)control designindependent monitoringdesktop proceduresupervisory proceduresSOC110-KFICCAprocess walkthroughtest scriptskey risk metrics

Hard Skills

operational risk managementrisk and control specialist responsibilitiestrade support across Fixed IncomeEquitySyndicateStructured ProductFuturesFXPrecious MetalsOptionsCryptoCapital Markets Core Processing & RiskclearancesettlementClearance and Settlement (DTCInternationalFEDStock LeadingFail management & Buy Ins.)asset transfers (ACATDRSDWACPhysicals)corporate actions (MandatoryVoluntaryIncome & Dividend)control functions (Balance & ControlPossession or Control)ensuring desktop procedure and supervisory procedures existconducting reviews to assess completion and performancereviewing compliance with firm policies and regulatory expectationsfacilitating Risk Assessments (iNFR-A)control designbusiness continuityentitlement managementanalyzing and reviewing operational risk incident (ORI)independent monitoringmanaging internal audits and compliance reviewsanalyzing key risk metricscoordination of external auditsSOC110-KFICCAinternal Compliance examsprocess walkthrough meetingsdesigning test scriptsconducting testingreporting resultscompiling reporting for managementsubject matter expertrisk assessments (iNFR-A)desktop proceduressupervisory procedures

Soft Skills

lead by exampledrive and determinationability to put forward challenging views to senior levelsstrong organizational skillsattention to detailmanage multiple collection pointsmanage multiple audiencesmanage fluctuating deadlinesproblem solvingcoordinationtrain and develop team memberstask allocationproject contribution

Industry & Role

Industry Banking

Job Function Lead operational risk governance and controls for Capital Markets Core Processing & Risk, including crypto-related trade support.

Role Subtype Operations Manager

Keywords for Your Resume

Capital Markets & Crypto Risk DirectorDirector in WM OperationsCMCPR Risk TeamCapital Markets Core Processing & RiskWM Operationsoperational risk managementrisk and control specialistTrade SupportFixed IncomeEquitySyndicateStructured ProductFuturesFXPrecious MetalsOptionsCrypto24/5 Trading model supportClearanceSettlementDTCFEDStock LeadingFail management & Buy Ins.Asset TransfersACATDRSDWACCorporation ActionsMandatoryVoluntaryIncome & DividendPossession or ControlBalance & Controldesktop proceduresupervisory proceduresRisk Assessments (iNFR-A)control designbusiness continuityentitlement managementOperational Risk Incident (ORI)independent monitoringSOC110-KFICCAprocess walkthroughtest scriptskey risk metricsiNFR-A

Deal Breakers

Must demonstrate operational risk management experience supporting Capital Markets processes (trade support, clearance, settlement, asset transfers, corporate actions), Must have experience with risk assessments (iNFR-A) and control design, Must be able to coordinate external audits (SOC1, 10-K, FICCA)

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