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Senior Analyst, Corporate Risk

Quick Facts

St. Louis, Missouri ID# 2017-12621 Regular Full-Time Second Level Professional

Role:

The Sr Analyst, Operational Risk serves as a resource to the risk owners all business channels and the operational risk management to identify, and then developing and implementing strategies that will enable the business to mitigate or eliminate the operational risks.  Key risks this role will be partner in identifying  could arise as a result of failed internal processes, human error, internal systems or from external events. Key aspects of this role include conducting monthly/quarterly risk assessments, providing updates to the sr managers and director, and creating/updating documentation of departmental procedures and activities.  Collaborating with the business channels, as well as the operational risk director and sr. managers is key for this role.

Responsibilities:

  • Partner with risk owners to gather and analyze operational risk data
  • Participate in and at times lead monthly/quarterly risk assessments, identifying key risks, controls and gaps
  • Contribute to the completion of assessments and root cause analysis when needed
  • Assist  with the development of key risk indicators (KRIs) and other measurements and metrics
  • Educate risk owners on TDA’s operational risk framework
  • Provide input to risk owners as they initiate projects, make strategic decisions to ensure potential risks are identified, understood and mitigated or addressed
  • Provide input to business partners related to control design and testing
  • Deliver training to associates to develop risk awareness and identify their responsibility to contribute to managing risk
  • Develop opportunities to improve risk management data quality
  • Evaluate data to identify root cause and improvements
  • Gather and prepare material for director and sr. managers
  • Draft reporting to the BOD Risk Committee, the Enterprise Risk Committee and/or other Risk Committees
  • Identify improvements to existing practices and implement enhancements

Requirements:

  • 3+ years prior work experience in the financial services industry in the capacity of risk management (Operational, Financial, Market and/or Credit) or related fields including, financial analysis, operations or compliance.
  • Knowledge of internal control and risk management concepts, financial services industry practices and regulatory requirements.
  • Analytical and problem solving skills including the ability to probe sensitive issues while maintaining the highest level of integrity and objectivity.
  • Ability to perform multiple tasks in a fluid environment and work both independently and as a team member.
  • Good verbal and written communication skills.
  • Proficiency in computer applications, including Microsoft Office products (Word, Excel and PowerPoint) database and other reporting applications.
  • Project management skills, including showing initiative and playing an active role in projects.
  • Securities industry knowledge and experience required.
  • BA/BS; Accounting, Business or related field
  • 3-5 years experience
  • Securities licenses, professional designations or equivalent experience, is preferred
  • Military education or experience may be considered in lieu of civilian requirements listed

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About TD Ameritrade.

A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

© 2014 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.

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