Lead Control Management Officer

Key responsibilities include:

• Provide alignment to one or more coverage areas across Broker Dealer Operations, Derivs & Middle Office Operations, Account Onboarding, Tax Operations, FX Operations, new products, fraud, and other line of businesses supported for by the CIB Operations teams.
• Serve as a coverage officer within the control team, with proven knowledge of applicable products, services, processes, systems and customers.
• Continuously engage in discussions with LOB partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products and services, to determine impact and identify and remediate risk control issues across all risk types.
• Contribute to team coverage of engagements such as internal audits, external exam and other control reviews. Ensure LOB awareness and preparations as applicable.
• Lead efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions as well as any related intake and closure requirements.
• Communicate the pipeline of engagements, issues and any related requirements to ensure that internal and external timelines are met.
• Collaborate with Line of Business (LOB) partners on control design, implementation and monitoring.
• Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams.
• Partner with business control managers and the business to maintain the business process inventory.
• Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls.
• Awareness and involvement in regulatory change control, and alignment of related controls.
• Contribute to governance routines and management reporting leveraging RCSA data.
• Partner with business control managers to ensure that the RCSA and related risk and control profiles are maintained following any engagements/related issues and corrective actions.
• Manage RCSA triggers, including the assessment of RCSA.
• Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record.
• Control Development: Control Documentation, control evaluation, control implementation and monitoring.

• Advanced Microsoft Office (Excel and PowerPoint) skills.
• Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW)
• Knowledge and understanding of internal controls and internal control policy.
• Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
• Strong domain knowledge of Investment banking operations is desirable.
• Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly.
• Exceptional interpersonal and relationship building skills to effectively influence all organizational and leadership levels, where flexibility, collaboration, and adaptability are a must.
• Highly organized and proactive with demonstrated ability to assess, exercise independent judgment, apply prudent risk management principles, prioritize work to meet deadlines, and proactively escalate when necessary.
• Ability to be flexible and adjust plans quickly to adapt to changing business needs.
• Hands on style; proven ability to structure tasks or projects, execute and achieve targeted results and develop and manage associated goals and plans.
• Intellectual curiosity with proven ability to learn quickly through others as well as to conduct their own research and analysis.
• Ethical integrity and demonstrated ability to exercise independent judgment and apply prudent risk mitigation principles.