Business Controls Analyst

5 months ago

Chennai, India Equiniti Full time

Management Level

F

The Business Risk & Controls (‘BRC’) team is a specialist First Line team operating within the Equiniti US Shareholder Services division. This role is responsible for the oversight and implementation of the group control framework. Working in close collaboration with the products/business line along with other complimenting Business Risk & Control teams, this group will be responsible for governance and overall oversight of the control landscape and strategy for the Division (control design, control operations, read-across implications to enhance controls, controls testing program, key controls oversight in the system of record). This group will ensure best practices are adhered to and implemented in collaboration with the 2nd and 3rd Lines of Defense.

The BRC team closely aligns with the businesses for operational risk and control framework activities including design, implementation, ongoing monitoring/reporting, and testing/validation of controls.

We are looking for an accomplished and seasoned applicant with equivalent work experience, supplemented with wider financial business and product knowledge from other roles, to be a part of the BRC Central Controls function for the Division.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

Contribute to the development, maintenance, and continued enhancement of the overall Central Controls function. This includes several components such as Controls Design, Testing, Strategy, Governance, Digitization and RemediationSupporting management in identifying and preventing the risks resulting from internal processes, people, systems or external events to inform the controls framework and identifying remediation/prevention measures.Lead/undertake read-across analysis across US Shareholder Services taken from relevant controls related findings across Businesses and active Actions taken from the controls system of record to inform the control framework.Develop and implement adequate reporting on all controls related topics at a Divisional level. Maintain documentation/evidence of governance processes for control landscape changes across the Division.Be the divisional representative for all Controls Framework topics across the business.Be a coach for a team of Business/Product Control specialists.Lead the review of the control landscape assessments across the Division with the aim to locate any weaknesses and put in place, working with the businesses and second line, an implementation plan to mitigate / minimize perceived risks.Undertake reviews for existing and new key controls, and if deemed necessary, thematic deep dives of control coverage and effectiveness.Drive key controls review, key control owner training and key controls owner attestation per control framework standards as part of the beginning of year activity driven centrally by EWRM.Ensure controls remediation across systems is performed per exceptions reported by Enterprise-wide Risk Framework (ensure consistency across the controls systems of record).Ensure Key controls are always updated in the system of record post relevant governance process.Develop/maintain the Key Control Cockpit to provide transparency across key control tracking metrics in the Division.High degree of senior partner engagement and interactions, including presenting at various governance meetings as required.Work with first line Control Owners to develop, design, and enhance controls.Partner and collaborate with Enterprise Risk Management, Compliance, Legal, Risk and other second line functions as well as Internal Audit.Question the status quo and identify issues and improvements.Foster a positive risk and control culture.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviours:

7+ years in the Finance industry, with an understanding of Shareholder Services preferred. With previous experience in a Controls discipline (e.g., Internal Audit, Compliance, Operational Risk, Controls)Ability to contribute to a team of control specialists.Detailed understanding of key concepts in control design, enhancement, implementation, testing and reporting.Experience in performing detailed controls reviews, control evaluation and determining areas of improvement as part of controls enhancements with an eye for digitization.Demonstrated experience in being proactive to managing and addressing control gaps at a first line level.Ability to work across different types of businesses and second line functions including but not limited to Legal, Compliance, Risk, etc.Delivery focused - proven ability to optimally drive projects / reviews / tasks to completion at a high standard.Ability to manage multiple priorities and deliver to established timeframes.Excellent verbal and writing skills - candidate will be expected to articulate complex control issues in a structured, concise, and effective manner.Experience dealing with various Auditors and Regulators is beneficial.Astute problem solver with solid analytical skills competent with Microsoft Office with above average expertise in Excel and PowerPoint is necessary.Proven ability to lead and facilitate control review meetings while setting the benchmark of what “good looks like”Outstanding written and verbal communication skills with an eye for accuracy and consistency, excellent grammar, composition, and proofreading skills

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships. Please note any offer of employment is subject to satisfactory pre-employment screening checks.

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