Harris | Oakmark · 9 hours ago
VP, Enterprise Risk and Internal Controls
Chicago, IL
Full-time
Onsite
Senior Level, Lead/Staff
$130K/yr - $155K/yr
10+ years expHarris is a company that values a diverse workforce and is committed to fostering an inclusive environment. They are seeking a Director of Enterprise Risk and Internal Controls to develop and drive the firm’s compliance testing program, ensuring alignment with regulatory frameworks and enhancing the firm’s risk management and control environment.
Financial ServicesProfessional Services
Responsibilities
Assist in the management, coordination, and performance of executing various elements of the enterprise risk management framework in alignment with compliance and operational risk policies
Design, implement, document, and test compliance and operational controls, including expanding forensic testing activities to ensure adherence to regulatory policies and procedures
Perform comprehensive compliance and operational risk assessments, identifying exposures across investment operations, compliance, and support functions
Develop, monitor, and report on key risk indicators (KRIs); track risk events and facilitate root cause analyses to drive ongoing risk mitigation and governance enhancements
Maintain and refine the operational risk inventory and control mappings in collaboration with business and functional leaders
Manage model risk model risk documentation and validation processes, ensuring robust governance and transparency
Conduct walkthroughs and evaluations of front, middle, and back-office control functions to identify gaps, lead remediation efforts, and improve control effectiveness with process owners
Champion the automation and digitalization of risks, conflicts of interest, and control activities in ComplianceAlpha
Develop and maintain a comprehensive matrix of all compliance and forensic testing performed
Production of various monthly and quarterly Compliance reports to Natixis
Conduct related special projects/analysis on an as needed basis
Qualification
Required
Bachelor's degree with 10+ years of experience in internal controls, enterprise risk, or audit within asset management or financial services
Deep understanding of investment products, fund structures, and operational workflows
Solid knowledge of COSO, SOC, and global regulatory frameworks, with a strong understanding of the trade lifecycle, NAV calculations, custody operations, and portfolio accounting principles
Experience with GRC platforms (e.g., ACA, Archer) and data aggregation and visualization tools (e.g., Power BI)
Excellent communication stakeholder engagement skills with an ability to present ideas and information in a clear, succinct, and logical manner
Strong organizational skills with a proven ability to manage competing priorities and meet deadlines in a challenging environment
Demonstrates exceptional diligence, with strong initiative and adaptability in navigating evolving priorities and environments
Engages effectively across all levels, with integrity and sound judgment, confidently challenging and influencing decisions
Preferred
Certifications a plus: GRC, CIA, CRMA, etc
Benefits
Medical
Prescription drug
Dental and vision insurance
Paid time off
Profit sharing plan
401k plan
Tuition reimbursement
Commuter and holistic wellness benefits
Volunteer programs
Company
Harris | Oakmark
Discipline is the Harris Associates way.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Alex Fitch
Partner, Director of Research & Investment Analyst
Colin McFarland
Chief Compliance Officer
Recent News
2025-06-11
Seeking Alpha
2025-01-15
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