A large financial client is looking for an RSCA & Issue Management Associate to join their team. This person will be joining the First Line Global Banking and Markets Operational Risk team. This team is responsible for maintaining and supporting the risk management framework for the GBM division and the ongoing assessment of new and existing processes. This person will be a part of the team that supports the RCSA execution process and Issue Management. For Issue Management, they will be managing the Issue Management Framework that was implemented last year. This focuses on control gap deficiency. This tool shows that the groups have identified where their risk areas are and track the progress on mitigating those issues.
Responsibilities will include:
- Monitoring the self identified issues from the Embedded Risk Managers (ERMs) and Lines of Business
- Follow up on open items that need remediation and ensure they are closed out properly
- Be an advisor to the business by educating them on how to log the self-identified issue, coach them on verbiage to use and how to log in the new tool.
- Create reporting for weekly and monthly governance forums to show progress on Issue Management

When they complete the work within Issue Management, they will join the RCSA team. For RCSA, they review assessments, rate and control the risk framework, and submit results to external parties. In addition, they coordinate with internal teams and management of the quarterly RCSA process. The quarterly RCSA process is a central firm tool for the risk and controls that are pertinent that quarter. This includes assessing and rating risk and controls, working with the first line teams that own risk, work with them to collect evidence and submitting the quarterly process to senior management.
Their responsibilities on a monthly basis will include:
- When quarter opens, there is a change management process. They will make updates in the system for various parts of division as the risk or controls change quarterly. They will manually work in the system to update the data points. Each quarter they look at different regulatory requirements or various risk points that senior leadership wants to focus on.
- They will run an RCSA stand up call with lead ERMs and VPs, put together a project plan and give status update on various data points.
- They will work with various auditors for any external assessments or audit inquiries.
- They will oversee and manage the overall project plan which includes the following:
- Change management: there will oversee the change management objectives each quarter
- Assessments: business owners are going in and performing assessments, they will drive these forward
- Certifications and sign off: they will present to GBM business heads to get their sign off upon completion of the process
- Ad Hoc Data Requests This person will receive data requests such as show me all the businesses that have this control in place and they will proceed to pull the correct data for that request.

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