Assist in the execution of line of business control measurement, analysis, issue identification and mitigation, and operational excellence. Execute Line of Business (LOB)-specific processes and tools to drive adherence to LOB and enterprise-wide control standards. Support the implementation of QA/QC processes within the LOB through ongoing monitoring and testing of controls and identification of gaps or other high-risk processes. Identify issues and/or control improvements for remediation, while assisting in building out action plans and mitigations. Act as a business control liaison to sales leaders and field teams.
Provide risk/business controls and sales/coaching support in executing regulatory discipline and operational excellence within Merrill Edge Financial Center Sales organization. May assist in Merrill Edge Home Office controls, as required.
Develop partnerships with Region Executives (RE), Performance Managers and other LOB leaders to help develop/communicate key controls updates, and any mitigation/action plans. Develop and deliver presentation for the tracking, monitoring, and escalation of risk related issues for all levels of the organization. Act as an ambassador of the BAC risk culture/framework.
- Integrate Risk and Business Control function into Edge business initiatives to ensure any risks/gaps are identified and mitigated.
- Reinforce sales teams role in managing risk (Identify, Escalate and Debate) as part of ongoing business routines as enterprise agenda pivots back to sustained growth
- Understand key regulations under which our business operates
- Work with business partners in Sales, LRC, Supervision and business partners as required to build action plans and manage risk/business controls and drive resolution for Preferred.
- Assist with Business Control reporting (audit/controls) as needed.
Required Skills: "Must" have these skills to be minimally qualified.
- Prior experience working in Financial Services industry with experience leading, coordinating projects/programs and working on cross-functional teams.
- 7+ years of risk management and/or Line of Business, Compliance or Control, and sales support experience
- Solid knowledge of Financial Center Sales and/or Merrill Edge line of business
- Very strong communications skills and ability to communicate with individuals at all level of the organization
- Proven record of communicating, interacting and influencing senior level executives
- Experience partnering to define/deliver breakthrough processes and coaching
- Ability to create business reporting and compelling written presentations that articulate business strategy and objectives.
- Proficiency using PowerPoint, Excel and reporting system skills
- S7 brokerage license
- Advanced PowerPoint and Excel skills.
- Process or Six Sigma background
- Experience with Visio.
Job number: 18048780