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Senior Operational Risk Associate

1 month ago

London, Greater London, United Kingdom Brewin Full time
RBC Brewin Dolphin is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds.

We specialise in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions and aspirations. Our services range from bespoke, discretionary investment management to retirement planning and tax-efficient investing.

About this opportunity

This is a fantastic opportunity for the successful candidate to join our 1LOD Operational Risk Team on an 18 Month Fixed Term Contract based out of our Smithfield, London office.

The First Line of Defence (1LOD) Operational Risk team acts as a partner for embedding, maintaining, and improving the RBC BD Wealth Management Europe (WME) Operational Risk program in our business units across the British Isles. This includes supporting the day-to-day activities of the business units in terms of identifying and reporting operating events, champions the embedding of the Operational Risk Framework and promotes a risk-aware culture, including awareness of Client Asset regulations ('CASS').

Responsibilities include:
  • Support the day to day activities of the client-facing teams in terms of identifying and reporting operating events, champion the embedding of the Operational Risk Framework and a continuing risk-aware culture, including awareness of Client Asset regulations ('CASS').
  • Monitor and challenge the timely escalation, quality and progress of all potential and crystallised risks through operating events and ensure the data is kept maintained in the risk system (OpenPages)
  • Analyse operational risk themes and perform thematic risk reviews to drive opportunities in the business to improve operational efficiency and mitigate risk.
  • Review and update procedures documents and key controls as appropriate and work with the CF10a team to ensure that CASS Operational Risk Framework reflects current controls
  • Facilitate, review, challenge and support departmental Risk and Control Self Assessments as required, including identification and reporting of emerging risks;
  • Contribute to refining the collation and reporting of Key Risk Indicators with escalation of areas outside of risk appetite presented through the governance structure;
  • Support consistent risk reporting to management that is of a high standard and submitted by deadlines
  • Provide support to the Business Management team and BD offices as required in the day-to-day operation of the Operational Risk Management Framework;
  • Participate in business meetings as required in order to understand and support business requirements;
  • Participate or lead ad hoc risk management initiatives to support process improvements.
    Skills/Qualifications
    • Degree educated or equivalent
    • CISI, ICA, IRM Certification, Risk Management qualifications are desirable
    • Demonstrates good technical understanding of regulations and business processes and procedures relevant for a Front Office role.
    • Communicates professionally with stakeholders and builds strong ongoing internal relationships across different levels of the organisation.
    • Excellent administration, planning and organisation skills with an eye for attention to detail.
    • Good interpersonal skills.
    • Displays enthusiasm, credibility, and determination.
    • Capable of managing multiple responsibilities, meeting tight deadlines and ability to work under pressure.
    • Self-motivated and capable of operating alone and as part of a team.
      To apply for this role, please click the "Apply" button below. The closing date for applications is 16/5/24 Some of our vacancies receive high numbers of applications and we may decide to close this sooner, so we would encourage you to apply as early as possible.

      #LI-Hybrid

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