VP, Enterprise Risk and Internal Controls
VP, Enterprise Risk and Internal Controls
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$ 130000 - 155000
1 Vacancy
Job Description
At Harris the true value of what makes us successful is found in our people. It is our unique mix of cultures experiences beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate nurture and amplify an unparalleled environment where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness.
We understand that a job description only tells one part of a broader story and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.
Therefore we encourage ALL interested individuals to submit their applications even if they do not meet every requirement outlined in the job description.
The Position
The Enterprise Risk and Internal Controls is a function within Compliance responsible for developing and driving the firms compliance testing program fostering a robust compliance operational risk and internal control structure and culture and ensuring alignment with a global regulatory framework.
The Director of Enterprise Risk and Internal Controls reporting to the Head of Enterprise Risk and Internal Controls plays a critical role in maintaining monitoring and enhancing the firms compliance and operational risk management and control environment. This role supports and leads efforts to ensure processes are efficient well-controlled and aligned with regulatory expectations best practices and firm policies. This position will have significant interaction with all areas of the business and varying levels of management as well as with the firms parent companys Compliance Operational Risk and Internal Audit teams and independent third-party audit firms. Additionally this position will contribute to enterprise-wide initiatives related to internal control testing risk assessments regulatory readiness and governance documentation. Success in this role means having an initiative-taking hands-on and collaborative attitude with a readiness to take ownership and drive accountability for a variety of initiatives.
Responsibilities
- Assist in the management coordination and performance of executing various elements of the enterprise risk management framework in alignment with compliance and operational risk policies.
- Design implement document and test compliance and operational controls including expanding forensic testing activities to ensure adherence to regulatory policies and procedures. Design implement document and test compliance and operational controls including expanding forensic testing activities to ensure adherence to regulatory policies and procedures.
- Perform comprehensive compliance and operational risk assessments identifying exposures across investment operations compliance and support functions. Perform comprehensive compliance and operational risk assessments identifying exposures across investment operations compliance and support functions.
- Develop monitor and report on key risk indicators (KRIs); track risk events and facilitate root cause analyses to drive ongoing risk mitigation and governance enhancements.
- Maintain and refine the operational risk inventory and control mappings in collaboration with business and functional leaders.
- Manage model risk model risk documentation and validation processes ensuring robust governance and transparency.
- Conduct walkthroughs and evaluations of front middle and back-office control functions to identify gaps lead remediation efforts and improve control effectiveness with process owners.
- Champion the automation and digitalization of risks conflicts of interest and control activities in ComplianceAlpha.
- Develop and maintain a comprehensive matrix of all compliance and forensic testing performed.
- Production of various monthly and quarterly Compliance reports to Natixis.
- Conduct related special projects/analysis on an as needed basis.
Qualifications
- Bachelors degree with 10 years of experience in internal controls enterprise risk or audit within asset management or financial services.
- Deep understanding of investment products fund structures and operational workflows.
- Solid knowledge of COSO SOC and global regulatory frameworks with a strong understanding of the trade lifecycle NAV calculations custody operations and portfolio accounting principles.
- Experience with GRC platforms (e.g. ACA Archer) and data aggregation and visualization tools (e.g. Power BI).
- Excellent communication stakeholder engagement skills with an ability to present ideas and information in a clear succinct and logical manner.
- Strong organizational skills with a proven ability to manage competing priorities and meet deadlines in a challenging environment.
- Demonstrates exceptional diligence with strong initiative and adaptability in navigating evolving priorities and environments.
- Engages effectively across all levels with integrity and sound judgment confidently challenging and influencing decisions.
- Certifications a plus: GRC CIA CRMA etc.
We offer a comprehensive benefits package designed to integrate life and work and to support our employees and their families. Benefits include but are not limited to; medical prescription drug dental and vision insurance paid time off profit sharing plan 401k plan tuition reimbursement commuter and holistic wellness benefits along with volunteer programs.
Actual annual base salaries may vary based on factors including but not limited to education training experience and other job-related factors. If hired base pay will be determined on an individualized basis and is only one part of the total compensation package which depending on the position may also include a discretionary performance bonus and other Harris sponsored benefit programs.
Expected range for this Chicago-based role
$130000 - $155000 USD
Equal Employment Opportunity Policy Statement
Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment hiring training compensation benefits advancement and treatment on the job. This means that Harris does not discriminate against employees or qualified applicants based on an individuals race color religion creed sex age national origin physical disability sexual orientation trans-gender status transsexual status status as a veteran or disabled veteran genetic information or for any other reason prohibited by law. Harris reserves the right to review publicly available information about applicants (i.e. via social networking sites) to the extent permissible under applicable law.
Reasonable Accommodation Notice
We provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability you may use the alternative email address below to contact us about your interest in employment at or you can call us at .
Privacy Statement
The information you send to us is used for employment purposes only. What you send is kept confidentialwe will not give your personal information to outside parties without your consent.
Required Experience:
Exec
Employment Type
Intern
