Business Risk and Controls Advisor supporting Technology Risk Governance Team at USAA. Advising on control environment, performing risk assessments, and ensuring compliance with regulatory requirements.
PG
Hybrid Director, Operational Risk Management – Public and Private Fixed Income
Posted last month
About the role
- Director of Operational Risk Management for PGIM, focusing on risk assessments and control reviews in the Asset Management sector. Collaborating with teams to promote operational risk awareness and accountability.
Responsibilities
- Conduct detailed risk assessments/control reviews for existing processes, new products, and initiatives by ensuring key operational risks and controls are properly identified, assessed and documented
- Review and analyze errors and other risk events, perform root cause analysis, identify trends, and recommend corrective measures
- Report to Senior Management on key operational risks, significant risk events, status of outstanding issues, and other topics
- Assist in risk aggregation and reporting, including collecting, identifying, developing, and reviewing key risk indicators
- Promote Prudential’s Operational Risk Management framework policies and procedures across the PGIM Public and Private Fixed Income businesses
- Monitor, analyze and communicate emerging risks and external events
- Collaborate closely with regional offices, and support functions across the business to reinforce operational risk ownership and accountability
- Act as an Internal Audit liaison, including planning and coordination for internal audits, as well as assisting in the development, monitoring and closure of audit related action plans
- Oversee Sarbanes-Oxley walkthroughs, identification/validation of key controls, and coordination of the annual fraud assessment
- Coordinate various requests from Internal Audit, internal departments, regulatory agencies, external auditors and others
- Collaborate closely with other control functions, and reinforce risk ownership and accountability
Requirements
- Expanded product knowledge in the fixed income industry including exposure to diverse products such as private debt, including direct lending and mezzanine funds including various fund structures
- Minimum of 8 years of Audit and/or Operational Risk Management experience in the Asset Management industry. Audit experience is a plus
- Previous experience in a global organization, including facilitating risk and control self-assessments, reporting and analyzing internal and external risk events, developing key risk indicators, and performing scenario analysis
- Ability to lead a small team of risk professionals
- Analytical mindset and ability to identify, assess and mitigate key risks, and perform root cause analysis
- Ability to effectively influence, negotiate and drive change within an organization while retaining independence
- Highly ethical individual with a strong moral compass who can effectively challenge management while partnering effectively with them
- Results-oriented individual who can transform strategy into action
- Excellent project management and multi-tasking skills
- Superior oral and written communication skills
- Excellent relationship management skills with the ability to partner and build professional relationships in a cross-functional environment
- CFA, MBA or similar certification/credentials are a plus
Benefits
- Medical, dental, vision, life insurance, disability insurance
- Paid Time Off (PTO)
- Leave of absences, such as parental and military leave
- 401(k) plan with company match (up to 4%)
- Company-funded pension plan
- Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs
- Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development
- Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs
- Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service
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