Risk Officer
Neuberger Berman Group LLC
il y a 5j

This is a new role within the EMEA Compliance and Risk teams based in Luxembourg. This role will support the Compliance and Risk Conducting Officer as well as having a focus on Operational Risk and process control enhancements.

This individual will serve as 1) a key liaison across local and global operational teams on risk matters and 2) a key person responsible for assisting in the development and maintenance of the AIFM operational risk governance framework, in accordance with best practice guidance and regulatory requirements and 3) execution of Third Party Risk Management (TPRM) oversight for third party suppliers.

Responsibilities :

  • Provisions of day to day support to the Risk and Compliance Conducting Officer.
  • Ongoing management, maintenance and embedding of the operational risk framework covering all new and existing product strategies and related governance processes.
  • Enhancement and maintenance of the third party risk assessment framework, ensuring key business areas have the appropriate oversight of third party managed outsourced functions / suppliers.
  • Identification and investigation of operational risk events, ensuring root cause analysis and control assessments. This will involve undertaking deep dive’ reviews on significant and complex events.
  • Identify process / control weaknesses and raise issues and associated actions, where required. This will involve notifying responsible owners and providing sufficient oversight to ensure the issue is managed to completion.
  • Undertake process end-to-end reviews, and implement operational risk controls that conform to best practice, as required.
  • Undertake Compliance monitoring.
  • Conduct and maintain annual risk and control self-assessments across the business.
  • Co-ordinate the collection and updating of key indicators across the business.
  • Create, maintain and develop positive working relationships with all stakeholder, internal and external, to support the achievement of key outcomes.
  • Participate in periodic update of wider group ICAAP process.
  • Maintain the operational risk register and support development of scenario analysis.
  • Preparation of AIFM board-level risk reporting including identification and evaluation of emerging risks, enterprise risk assessment and KRI dashboard.
  • Administration and Support of the group wide operational risk tools in particular : Implementation of configurations to support the Enterprise Risk Framework;
  • Support of employee system use / interactions;Testing of new releases and methodology changes; andAct as a liaison point between group IT, solution vendors and the Risk senior management team.

  • Execution of the NB Group TPRM framework : Risk rate third party outsourcers and vendors; andCarry out risk due diligence (including Business Impact Analysis).
  • Requirements :

  • Demonstrative experience in an asset / investment management firm as a member of an operational risk, internal audit team or compliance team.
  • Strong understanding of Private Equity, Fixed Income and Alternative Investment products and supporting processes, associated operational risks, best practice standards, related rules and regulations.
  • Comfortable in risk identification and collaboration in creating and solving potential areas of risk.
  • Understanding / Involvement of AIFM Operational Risk capital management process.
  • Knowledge of CSSF rules and familiarity with the AIFM Directive.
  • Excellent analytical, critical thinking and problem solving skills.
  • Familiarity with Wolters Kluwer One Sum X or other risk applications would be advantageous.
  • Demonstrated ability to interact with senior management.
  • Team player, flexible, ability to work with a variety of personalities.
  • Ability to assert and influence across all organizational levels.
  • High degree of initiative.
  • Strong open communication skills.
  • Fluency in English is essential. Fluency in Italian advantageous.
  • Strong report writing skills.
  • IT literate.
  • Neuberger Berman is an equal opportunity / affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations.

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