Business Risk Manager

Management Level

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us

Role Summary

The Business Risk & Controls (‘BRC') team is a specialist First-Line team operating within the Equiniti US Shareholder Services division and there is an opening for a Business Risk Manager (‘BRM') to join the team.

The focus of the BRM role is to identify and manage risks within the First Line of Defense (‘FLOD') of US Shareholder Services, and ensure Group Risk requirements are met through the application of the Risk Management Framework.

The BRM is expected to collaborate with stakeholders across the Three Lines of Defense including US Executive, business leaders, management, projects, supporting Group Functions and Group Internal Audit; to gain visibility of risks, controls and events, ensuring appropriate management and remediation through governance and oversight.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• A point of contact for the business functions, working closely with them to identify, report and mitigate risks in the business and ensuring risk and event records are managed in line with Group requirements.

• Regularly conduct risk assessment activity, such as Risk Control Self Assessment (‘RCSA') or Process Risk Control Self Assessment (‘PRCSA') methods.

• Conduct ongoing monitoring and analysis on business activities, event reporting and developments to identify emerging risks to the business, including having an awareness of products, compliance and regulatory requirements.

• Effectively support and challenge the business to ensure risks and events are mitigated within Risk Appetite.

• Scrutinize data and reporting to support the identification of control effectiveness changes, and increase risk exposure.

• Working closely across the BRC team to ensure transparency in risk and control monitoring, among other responsibilities, to ensure the team achieves its objectives.

• Supports internal or external audit activity.

• Facilitates and participates in 1st Line governance activity, business engagement and escalation to the relevant governance bodies where required, including reporting of findings and recommendations to the leadership team and US Shareholder Services Executive where relevant.

• Supports the Business Risk Management Director where required including reporting and risk development activities as the BRC team responsibilities evolve, and supporting the improvement of risk awareness culture across US Shareholder Services.

• Ensure mandatory training is completed on time.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviors:

• Experience in risk management techniques and methodology within financial services

• 8+ years in the Finance industry, with an understanding of Shareholder Services preferred. Previous experience in a first-line Operational Risk Management setting

• Strong analytical and problem solving skills

• Ability to think strategically, prioritize and adapt to change quickly

• A strong promoter of risk awareness within the organization

• A strong ability to learn quickly and explain complex issue to others

• Strong influencing and management skills with senior managers

• An ability to constructively engage with and challenge peers

• Ability to build and manage relationships with senior management team members

• Self-starter, good under pressure, results focused – able to identify opportunities and take initiative and respond rapidly and flexibly to urgent priorities that arise on an ad-hoc basis

Other Job-Related Requirements

• Experience with Risk Management Information Systems

• Experienced in Microsoft Office

• BA or higher degree

• May require the need to travel to other locations [Desired]

Compensation

• $110,000-115,000 per year

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.

Covid Policy

EQ is committed to providing and maintaining a workplace that is free from known health hazards. Employees hired into client facing roles or those requiring business travel, may be required to be vaccinated against COVID depending on client requirements and travel restrictions. All current and future EQ employees are required to adhere to all health, safety and environmental policy and procedure requirements as a condition of employment.