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Risk and Controls – GRC

Full Time


Senior Associate, Risk and Controls


3 days on site – 2 days remote

SELLING POINTS: Enterprise Risk Management design and review of controls to mitigate the organizations risk review processes policies grc experience specifically RSA archer financial services internal controls

Enterprise Risk Management assists the business with the design and review of controls to mitigate the organizations risks. This role will report to the Executive Director and will work with the business in performing reviews over the control environment for the organization. This includes identification of organization and process risks, identification of controls to mitigate the risks, identification of control caps, review of associated policies and procedures, alignment of policies, procedures, and controls to the process. Additionally, this role is responsible for performing design and operational testing of identified controls, as needed.

Primary Duties and Responsibilities:

  • Review processes and work with owners to identify associated risks and controls
  • Review controls for adequacy, completeness and design to ensure risks are appropriately mitigated and managed
  • Review policies, procedures and job aids for alignment to processes and controls
  • Review processes for opportunities to improve efficiency and effectiveness, including opportunities to automate processes.
  • Develop recommendations/direction to business groups on process and control improvements.
  • Understand, utilize and train on the organization’s eGRC tool.
  • Oversee and provide analysis of new projects, systems, and products for impact to processes and controls.
  • Design and perform tests of controls for design and operational effectiveness, as needed
  • Produce effective reports on the processes and control activities, improvement efforts, as well as current effectiveness of controls.
  • Produce and deliver training and education on risks and controls.
  • Coordinate process and control efforts with control groups to maximize efficiency and effectiveness.
  • Collect data to identify root cause of problems, and escalate potential issues as necessary.
  • Oversee and assist with remediation management, and the implementation of processes and controls to address items
  • Monitor production problems/incidents for impact to organizational processes and controls.


  • Strong understanding of the role and importance of internal controls within the organization.
  • Experience with risk identification and mitigation, through internal audit, operational risk or enterprise risk
  • Ability to dissect a business process in order to understand risks, determine hidden control elements and identify potential improvements to the process and controls.
  • Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
  • Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
  • Ability to manage multiple efforts concurrently.
  • SOC experience and/or knowledge of COSO, preferred.
  • Understanding of working in a regulated environment, preferably financial services, preferred

Technical Skills:

  • Graphical/Charting expertise (ie Visio)
  • Spreadsheet expertise (ie Excel).
  • Documentation expertise (ie Word)
  • Presentation experience (ie PowerPoint, Word, and Publisher)
  • eGRC experience (specifically RSA Archer), preferred

Education and/or Experience:

  • Bachelor’s Degree in Business, Finance, Accounting, or a related discipline.
  • 3-5 years related experience, preferably within financial services
  • Familiarity with internal controls role within an organization.
  • Experience in identifying process improvements.
  • Experience in project planning and reporting results.
  • Experience with executing multiple projects simultaneously.

Certificates or Licenses:

  • CPA, CIA, CISA or other related certification, preferred.

Tagged as: Responsible

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