Control Management - Associate

Control Management - Associate

Job Responsibilities

• Partner with team members, location and business control managers, and Compliance, Conduct & Operational Risk (CCOR).
• Ensure timely and quality completion of applicable phases required to support the creation of the annual LERA.
• Collate quantitative and qualitative data sources
• Reconciliation of the firm s legal obligation repository to ensure completeness of Compliance Group representation
• Assessing compliance risk within a legal entity requires by using quantitative and qualitative data analysis to pinpoint the main compliance groups that contribute to both inherent and residual risk within the Legal Entity.
• Managing the Legal Entity Community of Practice by preparing meeting materials, tracking actions, and documenting feedback from key stakeholders, including Location Controls, Business Controls, Legal, and CCOR.
• Management of key program milestones ; includes; communications , ongoing progress / reporting / managing escalations
• Coordination and disposition of the CCOR challenges with relevant control managers
• Partner, build, and establish strong relationships with central control teams across regions (APAC, EMEA, US), key stakeholders, and data source providers.
• Develop a thorough understanding of the business profile of the Legal Entities being evaluated and comprehend how the compliance risk and control environment can impact overall risk ratings.
• Participate in key initiatives and drive process improvements within the team.

Required qualifications, capabilities, and skills

• Bachelor s degree required
• Minimum 7 years of experience, previous experience in Controls, Legal Obligations, Operational and or Compliance Risk Management would be beneficial
• A strong team player with exceptional collaboration and influencing skills, capable of working closely with peers responsible for data analysis and assessments across APAC
• A highly motivated and energetic self-starter who takes initiative and can provide constructive observations and recommendations
• Strong organizational skills to effectively manage and prioritize multiple tasks while maintaining high focus on quality
• An analytical mindset capable of identifying issues and problem solving at both strategic level and in detail with an understanding of its relevance across the business
• Exceptional verbal and written communication skills
• Exhibits sound judgement, maturity, and composure to recognize risks and escalate them as needed

Preferred qualifications, capabilities, and skills

• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint), understanding of applications like CORE, ELA, Alteryx skills preferable