Control Management maintains a strong and consistent control environment through a joint accountability model that align managers with each line of business, function and region to mitigate operational risk.
The team focuses on four areas : Risk Identification & Assessment, Control Design & Evaluation, Issues & Control Deficiencies and Control Governance & Reporting
As a Control Manager Associate, you'll be responsible for supporting the building and enhancement of the control framework through a continuous and integrated approach to risk assessment.
Additionally, you'll assist in top-down risk analysis, real-time control issue detection, escalation, root cause analysis, remediation, and program execution of firmwide control programs
Role Responsibilities :
In partnership with stakeholders, evaluate and perform an end-to-end analysis of the business’ operational risk and control environment to identify significant gaps and weaknesses and determine root cause of control deficiencies
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 protocols
Contribute to the development and enhancement of the business control environment through execution of the Control and Operational Risk Evaluation (CORE)
Review and analyze program related data (e.g., KRI / KPI) to support business-related programs and strategies
Assist program execution of firmwide control programs (e.g. NBIA, Cross Broder)
Engage with control colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators, and technology control functions
Bachelor’s degree or equivalent experience required.
Min. 7 years of experience in financial services industry and / or Accounting Firms. Wealth Management experience preferred
Background in controls, audit, quality assurance, operational risk management, or compliance preferred; or equivalent subject matter expertise in a relevant business related function / operation
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)