Operational Risk & Internal Controls Specialist jobs in United States
info-icon
This job has closed.
company-logo

BTG Pactual · 3 days ago

Operational Risk & Internal Controls Specialist

positionMiami, FL
timeFull-time
remoteOnsite
seniorityMid Level
date3+ years exp

BTG Pactual is seeking a detail-oriented and proactive Operational Risk & Internal Control Analyst to join their team supporting broker-dealer operations. This role is essential in ensuring robust risk management practices through various responsibilities including process mapping, control testing, and incident analysis.

Asset ManagementBankingFinancial ServicesWealth Management
check
Comp. & Benefits
check
H1B Sponsor Likelynote

Responsibilities

Document and analyze end-to-end operational processes across trading, clearing, settlement, client onboarding, and compliance functions
Identify control points, risk exposures, and process inefficiencies
Collaborate with business units to design and enhance internal controls aligned with FINRA, SEC, and other regulatory requirements
Develop and execute periodic control testing plans to assess effectiveness and adherence
Maintain testing documentation and report findings to senior management
Recommend improvements and track implementation of control enhancements
Investigate operational incidents, trade breaks, reconciliation issues, and compliance breaches
Conduct root cause analysis and assess control failures or gaps
Prepare incident reports and escalate material issues as needed
Monitor and track remediation plans resulting from incidents, audits, or control testing
Ensure timely and effective resolution of identified issues
Provide regular updates to stakeholders and contribute to risk dashboards

Qualification

Operational risk managementInternal controlsBroker-dealer regulationsProcess mapping toolsControl testing methodologiesManage multiple prioritiesWork independently

Required

Bachelor's degree in Finance, Accounting, Business, or related field
3–5 years of experience in operational risk, internal controls within a broker-dealer or financial services firm
Familiarity with FINRA, SEC, and other broker-dealer regulatory frameworks
Experience with process mapping tools (e.g., Visio, Drawio) and control testing methodologies
Knowledge of trading systems, clearing platforms, and middle/back-office operations
Ability to work independently and manage multiple priorities in a fast-paced environment

Company

BTG Pactual

twittertwittertwitter
Glassdoor3.9
company-logo
BTG Pactual is a financial company that operates in the markets of investment banking, wealth management, and asset management.
dateFounded in 1983
location
São Paulo, Sao Paulo, BRA
people-size5001-10000 employees
web-link
http://www.btgpactual.com

H1B Sponsorship

BTG Pactual has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (3)
2023 (1)
2020 (2)

Funding

Current Stage
Public Company
Total Funding
$2.67B
Key Investors
Asian Infrastructure Investment BankEuropean Investment Bank
2025-07-13Post Ipo Debt· $160M
2024-11-25Post Ipo Debt· $210M
2024-10-17Post Ipo Debt· $500M

Leadership Team

leader-logo
Roberto Sallouti
CEO
linkedin
leader-logo
Andre Fernandes
Chief Risk Officer
linkedin

Recent News

The Rio Times
Brazil’s Financial Morning Call for January 2, 2026
2026-01-05
PR Newswire
BTG Pactual Completes Acquisition of M.Y. Safra Bank and Will Now Operate with a Banking License in the United States
2026-01-05
MarketScreener
Btg Pactual completes acquisition of M.Y. Safra Bank
2026-01-05
Company data provided by crunchbase