Senior Risk & Controls Analyst

About This Role

This role supports a growing Capital Markets operations environment by focusing on SOX and operational control testing. The Senior Risk & Controls Analyst will evaluate control effectiveness, identify risk exposure, and support scalable governance frameworks by partnering with front, middle, and back office stakeholders.

Responsibilities

• Perform SOX and internal control testing across market operations processes
• Evaluate control design and operating effectiveness across multiple lines of business
• Develop and document testing scripts and procedures
• Assess operational risks related to reconciliations, payments, fund transfers, monitoring controls, and workflow management
• Translate stakeholder discussions into clear documentation and actionable control improvements
• Analyze large data sets using Excel
• Lead calls and coordinate with busy operational stakeholders to drive completion of testing cycles
• Manage multiple concurrent deliverables aligned to reporting deadlines

Requirements

• Experience with SOX testing, internal controls, or operational risk within financial services
• Background in internal audit, risk advisory, or controls testing (Big 4 or consulting experience highly relevant)
• Understanding of banking operations including front office, middle office, and back office processes
• Knowledge of trade lifecycle concepts (booking, confirmation, settlement)
• Strong written and verbal communication skills
• Advanced Excel skills and strong analytical mindset
• Comfortable working in fast-paced, high-accountability environments

Nice to Have

• Capital markets, investment banking, or securities operations exposure
• Sales & trading or markets business familiarity
• FINRA Series 7 or understanding of securities licensing
• Experience with Alteryx or large-scale data analysis

Skills

* Required skills