Job Description:This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards. Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.
LOB Job Description:
Business Controls within Wealth Management Operations (WMO) provides risk governance oversight for Wealth Management Operations, inclusive of regulatory exams, inquiries, audits and targeted risk assessments. Oversight is provided on the Wealth Management Operations audit issue portfolio, financial and non-financial regulatory reporting governance and is responsible for general ledger account maintenance, and exposure reporting.
The Control Governance team within Business Control team is responsible for evaluating risk and compliance with Enterprise protocols across the WMO organizational teams and functions. The team drives consistency across exercises to ensure compliance with protocols and requests from internal and external Requestors/Auditors/Regulators. The Sr. Business Control Specialist owns the oversight of assessments, issue management, control initiatives and reviews of WMO processes and controls. These include inquiries from both internal (Global Compliance and Risk partners (GCOR and EAC)) and external (Price Waterhouse Coopers, Office of the Comptroller of the Currency, etc.) sources. The Specialist will primarily be responsible for partnering with Process Owners to vet and coordinate responses across a WMO team and partnering with the Business Control teams to execute deliverables.
This role leads initiatives related to risk exercises within the organization; collaborates with team members to identify and address risk; coordinate regulatory examinations, inquiries, assessments and audits of operational functions; mobilize and encourage team in the remediation of audit issues.
Responsibilities: - Thoughtfully collaborates with Business Controls and Operation Managers/teams to identify and address risk:
- Manage the audit/exam process in coordination control partners, audit and the impacted functional areas
- Manages various risk initiatives to ensure that organization is appropriately represented and evaluated within the broader organization.
- Collaborates with team members across Business Controls and WM Ops to identify and mitigate risks
Required Qualifications:
- 3-5 years of prior experience in risk mitigation/role
- Must possess a highly detail-oriented work ethic and self-starter attitude
- Strong verbal and written communication skills across and up the organization
- Strong organization skills, including the ability to manage multiple responsibilities, prioritize and meet deadlines
- Exceptional attention to detail and the ability to hold others accountable
- Proven ability to work and execute with minimal supervision
- Ability to perform in an environment that changes periodically
- Demonstrate teamwork and strong interpersonal skills
- Strong relationship management skills to build and maintain credibility and influence with support partners, leadership and stakeholders
- Proven ability to provide comprehensive solutions to complex needs and/or problems
- Effective PowerPoint skills with the ability to develop presentations
- Effective Excel skills with the ability to create reports on a daily basis
- An appetite and aptitude for reading and understanding policy and procedure documentation; applicability to processes
Desired Qualifications:- Bachelor's degree
- Knowledge of Wealth Management Operational processes
- Experience with Exams/Audits
- Ability to review data and provide analytical perspective
- Advanced Excel and PowerPoint skills
- Proficient with SharePoint
Skills:- Controls Management
- Issue Management
- Monitoring, Surveillance, and Testing
- Quality Assurance
- Risk Management
- Analytical Thinking
- Attention to Detail
- Critical Thinking
- Problem Solving
- Written Communications
- Decision Making
- Innovative Thinking
- Prioritization
- Recording/Organizing Information
- Research
Shift:1st shift (United States of America)
Hours Per Week: 40
