Business Risk and Controls Analyst

Technology · New York, New York
Department Technology
Employment Type Contractor
Minimum Experience Entry-level

SoHo Dragon represents an investment bank with offices in midtown Manhattan. Our client is looking to hire a Business Risk and Controls Analyst. The Business Risk and Controls Analyst will assist with the assigned compliance control functions and support the development, implementation, and maintenance of a regulatory compliance program across the business and legal entities. This position reports into the Banking COO group.

  • Interviews will consist of phone screens and or web conference calls
  • W2/1099/C2C are all accepted.


The Analyst’s day-to-day responsibilities will support the mitigation of regulatory and operational risk by maintaining a fit- for-purpose business control program. In this capacity, the Analysts will

  • Prepare control reports by collecting, analyzing, and summarizing the information, as required by Management, Head Office and other compliance departments 
  • Monitor and track compliance with policies and procedures
  • Track and monitor training attendance of Banking employees and compliance with policy requirements
  • Assist with  testing of controls to determine effectiveness within the first line of defense
  • Assist in responding to information requests from internal audit, internal testing teams, as well as external auditors
  • Assist with monthly key risk assessments as part of the overall Operational Risk Management Framework of the Division
  • Assist in the preparation of training materials
  • Assist in the review of marketing material review
  • Assist in monthly reporting of compliance metrics to Banking senior management
  • Identify, analyze and escalate compliance and/or regulatory issues within Banking to determine their root cause and work with others to resolve the issues
  • Assist with the implementation of changes to the Client Relationship Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate.
  • Stay current on regulatory changes
  • Interact and maintain highly effective partnerships with line of business management, COO team and staff
  • Provide assistance, support and management of other projects as assigned


  • Eligible to work in the US
  • Bachelor’s degree, JD preferred
  • 1-3 years of relevant work experience
  • Series 7 and Series 24 preferred
  • Broad working knowledge of laws and regulations related to areas of assignment
  • Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner
  • Strong Critical Thinking and Problem Solving Skills
  • Self-starter
  • Ability to analyze complex regulations and polcies
  • Quick and accurate reading comprehension
  • Efficient and accurate record keeping
  • Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
  • Ability to influence others’ actions and decisions without express of authority
  • Proficiency in Microsoft Office Suite and  other utility applications (e.g., Adobe Acrobat)

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  • Location
    New York, New York
  • Department
  • Employment Type
  • Minimum Experience