Control Manager - Senior Associate

Join a team where your expertise in risk and control management will help shape the future of Wealth Management products. You will collaborate with product owners and stakeholders to design and implement effective controls, support new business initiatives, and drive continuous improvement. Grow your career in a dynamic environment that values innovation, integrity, and professional development. Your contributions will help safeguard our business and support our clients. Be part of a team that champions collaboration and a "design for control" mindset.

As a Product Control Manager in Wealth Management, you will oversee and continuously monitor the operational risk and control environment for Wealth Management products. You will partner with product owners and stakeholders to identify, assess, and mitigate risks through robust control design, ongoing monitoring, and effective governance. You will drive continuous improvement, support change initiatives, and provide expert guidance on control matters, ensuring compliance with regulatory requirements and firm standards.

• Oversee and continuously monitor the operational risk and control environment for Wealth Management products, ensuring risks are identified, assessed, and mitigated.
• Partner with product owners and stakeholders to design, implement, and review effective controls, including annual assessments and updates to control documentation.
• Lead and support control-related activities for new business initiatives, change management, and product launches, providing risk and control due diligence.
• Facilitate issue management by preparing narratives, documenting issues, identifying root causes, and driving resolution through action plans and stakeholder collaboration.
• Conduct and review control testing, analyze results, and support remediation efforts to address control breaks and non-adherence to key metrics.
• Prepare and deliver regular control governance updates, including executive management reporting, escalation of control breaks, and communication of key risk indicators.
• Represent the product in control committees, regulatory forums, and cross-functional meetings to ensure alignment with firm standards and regulatory requirements.
• Drive continuous improvement by participating in self-assessments, root cause analysis, and process reviews to enhance the control environment.
• Provide expert guidance on control matters for specialized areas such as artificial intelligence and machine learning use cases, ensuring compliance with governance and regulatory expectations.

• Bachelor's degree or equivalent experience required.
• Minimum 3 years of financial services experience in controls, audit, risk management, or compliance.
• Strong understanding of operational risk management, risk and control assessments, and regulatory requirements for broker-dealer and investment products.
• Proven facilitation, negotiation, and project management skills.
• Action-oriented, analytical, and creative problem solver with strong judgment and leadership.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio); able to develop executive presentations.

• Deep understanding of Wealth Management business and regulatory landscape.
• Excellent written and verbal communication skills; able to influence and present to business leaders.
• Exceptional relationship-building and networking skills; works effectively across diverse teams.
• Flexible and adaptable; manages competing priorities in a fast-paced environment.
• Strong process analysis skills; able to inform and design effective controls.
• Critical thinker with attention to detail; synthesizes data to identify risks and solutions.
• Skilled in writing action plans, procedures, and driving change initiatives.
• Makes informed, subjective decisions; influences stakeholders and justifies recommendations.