Sr Business Control Specialist
The candidate will join the Treasury Strategic Initiatives team, which is responsible for reviewing electronic communications to mitigate the reputational and regulatory risk.
The candidate will be engaged in the supervision of regulated trading activities through the review of electronic and/or voice communications to detect potential violations of applicable laws, regulations or internal policies in support of the line of business supervision responsibilities. The candidate should have the ability to independently manage work and to conduct a detailed review of data utilizing their business, supervisory, regulatory, and/or compliance knowledge. Position will be responsible for the timely review of electronic and/or voice communications, the review of related data, the escalations to management where appropriate, and the coordination and documentation of the issues through to closure. Position will be responsible for the use and testing of systems as they are available to the reviewer, present findings on testing, and suggest potential enhancements.
Enterprise Role Overview
Provide analytical support in executing internal control discipline and operational excellence within a LOB/ECF. Gather and organize data in order to monitor and test the effectiveness of key controls and status of mitigation and action plans. Prepare documentation for the tracking, monitoring, and escalation of risk related issues to management. Acts as an ambassador of the risk culture. Incumbents typically have over 5+ years of risk management and/or LOB/ECF experience. May manage staff.
- Bachelor’s Degree
- 5+ years of experience in the securities industry
- 5+ years’ experience in Compliance or Operational Risk analyst position
- Strong verbal and written skills
- Must be detail-oriented and be able to work collaboratively
- Proficient in MS Office including Excel
Job number: 18039655