Associate, Acquisitions and Strategic Investment Control Management

Are you passionate about risk management and operational excellence? As a Control Manager Associate in our Acquisitions and Strategic Investment (ASI) team, you’ll play a pivotal role in shaping a robust control environment and driving continuous improvement across our business.

Job Summary

As a Control Manager Associate within the Acquisitions and Strategic Investment (ASI) team, you will support efforts to promote early compliance and operational risk identification. You will maintain a sustainable and disciplined end-to-end control environment, identifying and escalating issues with urgency. You will partner with the business to ensure timely issue resolution, focusing on robust governance and ensuring timely reporting and escalation of any exceptions to management. Collaborating with key stakeholders, you will enhance control processes and contribute to strategic projects, supporting robust risk management practices. Your role is crucial in maintaining a strong control environment and fostering continuous improvement.

Job responsibilities

• Develop a strong understanding of the Acquisitions and Strategic Investments business.
• Assist as a Subject Matter Expert (SME) for the Compliance and Operational Risk Evaluation (CORE) system, supporting the business in managing processes, risks, controls, issues, and action plans documented in CORE.
• Have a strong understanding of the activities performed by the Acquisitions business as well as the Strategic Investments business to provide informed guidance on risks and controls.
• Independently assess adequacy of operational risks identified along with their, adequacy of aligned controls, Issues and Action Plans, and pro-actively escalate areas of concern to senior business management with high sense of urgency.
• Independently assess the broader control environment for the risk stipe, provide draft assessment rating, with rationale of a wholistic view including existing and emerging risks in the business.
• Support the assessment of legal obligations and applicability for the business. Summarize rationale for mapping to the business and present with strong rationale to senior business leaders.
• Support the development of internal controls and monitor any changes.
• Stay informed about changes in applicable policies, standards, and procedures, analyze their impact on existing risks and controls, and work with the business to implement necessary adjustments.
• Provide regular updates to senior management on the control environment, including preparing materials for risk and control forums.
• Demonstrate adaptability by responding to various needs, ensuring timely and sustainable delivery.
• Support business teams with various ad-hoc requests and activities related to risk and control, including Legal Entity tagging, Legal Obligation tagging, and implementing firmwide program changes.

Required qualifications, capabilities and skills

• Bachelor’s degree or equivalent experience required
• 3+ years of experience in financial services industry with background in controls, audit, SOX compliance, quality assurance, operational risk management, or compliance; or equivalent subject matter expertise in a relevant business related function / operation.
• Good communication and influencing skills.
• Experience in stakeholder engagement.
• Ability to prioritize tasks and manage multiple assignments effectively.
• Capacity to respond quickly to changing business needs and urgent requests.
• Knowledge of acquisitions and / or strategic investments
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Knowledge of intelligent automation tools such as Tableau, Python, Alteryx, or UI Path