Control Manager
1 month ago
As a Control Manager, you will support the Client Onboarding & Documentation Controls agenda globally, including identifying and monitoring significant risks and ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, using the Firm-wide CORE framework as part of the Risk Oversight & Governance team.
The Client Onboarding & Documentation ensures a robust control environment for Wholesale Know Your Customer (KYC) Operations, Digital Document Services (DDS),
As a Control Manager, you will support the Client Onboarding & Documentation Controls agenda globally, including identifying and monitoring significant risks and ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, using the Firm-wide CORE framework as part of the Risk Oversight & Governance team. Your network will include global Digital Document Services (DDS), as well as Corporate Compliance, Controls, Internal Audit and cross line of business Control and Operations partners. Key responsibilities include Risk Assessment Structuremaintenance, Control Evaluations, data analysis, preparation/presentation of insightful governance presentations and development of subject matter expertise on Common Controls.
Job Responsibilities
Develop and maintain solid knowledge of Client Onboarding & Documentation Digital Document Services, Wholesale Know your customers (KYC) operations function and Control-related policies, procedures, and operating model as well as systems/platforms used to carry out these activities Perform proactive review of processes to identify any emerging risks. Partner with other pillars within CO&D controls function to socialize and raise issues appropriately. Usage of data / innovative new age technology tools like Alteryx / UI Path to perform automated testing or data driven testing. Objective would be to perform full population testing as against sample testing. Maintain CORE Standards, Risk Assessment Structures and Program deliverables Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment Perform root cause analysis and work with Operations and Controls teams to implement appropriate corrective action and best practices. In partnership with stakeholders, evaluate and perform an end-to-end analysis of the business’ risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks Ensure that Controls are properly designed, operating effectively, and essential to a proactive risk and control culture that leverages proven evaluation strategies and sound change management Perform ongoing analysis of program related data (., KRI/KPI) and develop ad-hoc reports as requested to support Controls-related programs and strategies Partner effectively with colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators, and technology control functions to deliver consistent and rigorous operational risk practices and Control programs, including control committees, risk mitigation, key risk indicators, control design, and effectiveness evaluation/testing. Perform action plan validation testing and support Quality Assurance testing and CORE testing in support of control program objectives.Required Qualifications, Capabilities, and Skills:
Overall 15+ years of experience Strong and effective communication and interpersonal skills to develop relationships, throughout the region and at multiple levels of the organization. Bachelor’s degree or equivalent experience required. 2-3 years of financial service experience in controls, operations, audit, quality assurance, risk management, or compliance Strong critical thinking, attention to detail, analytical and problem-solving skills including taking the initiative to drive change Strong relationship management, influence management, and ability to partner with stakeholders Experience in assessing end-to-end processes to identify operational risk and determine the adequacy of controls Self-starter who is able to work in a fast-paced, results-driven environment Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner Proficiency with Microsoft Office (Outlook/Word/Excel/PowerPoint); advanced user knowledge of excel required Intelligent Automation implementation knowledge of– Alteryx, Tableau, Instabase, Pega, UI Path etc. Flexible and adaptable to shifting priorities; manages competing priorities to achieve the most effective result-
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