Risk Management and Compliance Control Management – CORE Program – Associate

You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

The Risk Management and Compliance (RM&C) Control Management Programs team is responsible to create a strong and consistent control environment across the RM&C organization. With Control Managers appointed for each Line of Business Function and Region, there is a comprehensive coverage/accountability model that promotes early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk.

As an associate in the RM&C Control Management - CORE Program Team you will be part of a team that works closely with variety of stakeholders to drive operational risk and controls initiatives across Risk Management and Compliance (RM&C). You will use your compliance and operational risk and controls subject matter expertise to understand projects within and driven across the Firm to assess impact to RM&C, provide feedback and work closely with stakeholders to implement program initiatives.

Job Responsibilities:

• Work with Risk Management and Compliance (RM&C) Control Management (CM) colleagues to develop an understanding of the Risks & Controls throughout the department.
• Build knowledge of Risk Management & Compliance, its policies and procedures, and Risk & Control practices in order to advise on necessary enhancements to Risk Assessment Structures (RAS) and controls
• Engage cross-functionally with control leads within Risk Management & Compliance, and attend Control Lead meetings as required; providing updates to your manager as necessary.
• Provides control related subject matter expertise for relevant projects driven outside of the Control Management organization.
• Identifying meaningful metrics to inform on the health of the operational risk and control environment. Report/summarize various initiatives for management.
• Develop enhanced reporting for controls through use of automation, if needed
• Update monthly reoccurring decks on a periodic topics agenda while coordinating updates across Senior Control Managers
• Manage deliverables of good quality and accuracy meeting respective timelines in a dynamic changing fast paced environment
• Drive process improvement related to report production, using technical skills to make processes more automated / efficient.
• Collaborate with Technology and Central teams to support enhancement of key reporting platforms, identification and resolution of data quality issues, and user acceptance testing.
• Engage cross-functionally with control leads within Risk Management & Compliance, and attend Control Lead meetings as required; providing updates to your manager as necessary.
• Understanding feedback from independent oversight parties and assessing gaps across RM&C LOB / Functions to ensure remedial measures are implemented to mitigate recurrence of similar issues.

Required qualifications, capabilities, and skills:

• Significant experience with the Operational Risk and Controls framework, system and associated procedures
• 5 plus years of professional experience in Risk & Controls Assessment, Internal Controls Design & Review, Project & Stakeholder Management, Risk Consulting, Process Consulting, Internal Audit
• Expertise in technical tools such as PowerPoint and Excel along with working experience using Alteryx, Teams, and SharePoint
• Strong communication and influencing skills - able to work across groups (Audit, Controls and allied business groups), is collaborative, team-oriented and passionate about supporting internal / external stakeholder.
• Exceptional analytical skills and time management skills
• Proven analytical thinker with ability to identify, analyze and solve problems in a thoughtful manner, with diplomacy and professionalism. Sound business instincts and judgement to assess materiality of the risk.
• Self-starter, able to take the initiative and operate in the group with minimum supervision on a daily basis.
• Able to work effectively under pressure and in a rapidly changing environment in order to meet deadlines.

Preferred qualifications, capabilities, and skills:

• Relevant experience in Risk Management & Compliance processes a plus
• Bachelor's degree in Finance, Accounting, degree is preferred
• Advanced Excel and SharePoint automation skills highly desired.
• Automation skills in Tableau, SharePoint, Python is a big plus.