*responsibilities*:
- participates from inception through implementation, in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
- utilizes issue management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
- may support any area of the business (organizationally, regionally or product-wise) from an issue/project perspective; regular engagement with senior business level officers, legal, risk, and compliance regarding complex matters.
- initiates and develops relationships with others throughout the business unit and the company in order to identify and understand business needs
- implement solutions to improve effectiveness and results
- ensure a culture of accountability, integrity and respect
- works issues/projects as assigned to support improvements
- identify and analyze escalated problems and provide guidance for resolution
- negotiate solutions and acts as a liaison with internal and external clients
- monitor, research and evaluate technological advances in the industry to identify appropriate alternatives for enhancing current department operations
- evaluate cost/benefits, make recommendations, develop and oversee implementation plans
- provides judgment based on analysis of factual information in complicated and unique situations
- directly impacts the area through shared responsibility for delivery of end results
- implement and develop controls to prevent risk within specialized business
- analyzes and identifies risk and performs analytical reporting
- acts as a consultant to the businesses regarding processes & controls
- drives corrective actions
- provides support to business activity owners and third party risk and control functions
- coordinates and assists with onsite reviews
- completion of compliance documentation and on boarding activities relevant to compliance due diligence.
- has the ability to operate with a limited level of direct supervision.
- can exercise independence of judgement and autonomy.
- acts as sme to senior stakeholders and /or other team members.
*qualifications*:
- 5-8 years of control and/or project experience
- high attention to detail and quality
- demonstrated analytical and problem-solving skills.
- effective planning and organizational skills
- proficient in microsoft office with an emphasis on ms excel
- consistently demonstrates clear and concise written and verbal communication skills
- proven ability to make sound business decisions
- experience in creating and implementing processes that result in improved business performance
- ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view
- required licensing/registration: series 7, series 9, series 10, series 24,
*education*:
- bachelor's/university degree or equivalent experience
*compl bus control sr analyst - c12*
*responsibilities*:
- review and analyzing of policies, technology, tools, and governance processes to create lasting solutions for minimizing risks from failed internal processes and inadequate controls.
- looks for ways to improve the current process and share best practices with senior leadership.
- participates in senior leadership meetings to analyze documentation and processes to ensure risks and control points are properly addressed.
- ability to learn in short time about new systems and processes.
- assists senior level management in gathering data and information for executive level reporting and to take ownership of specified projects and tasks.
- builds trusted internal and external customer relationships.
- can exercise independence of judgement and autonomy.
- acts as sme to senior stakeholders and /or other team members.
- reviews the credit process and analyze it to find possible breaches and best practices.
- manages and serves and provides support to the stakeholders in the escalations process to identify root causes, find and implement actions to mitigate risks.
- acts as an intermediary between the business and the second line of defense.
*qualifications*:
- 3-5 years' experience in internal control and compliance.
other risk and control segment would be a plus - internal control.
- knowledge of the credit process.
- expertise in regulations and corporate policies for banking.
- manager's control assessment (mca) process knowledge.
- consistently demonstrates clear and concise written and verbal communication skills
- experience working collaboratively across various areas of the organization and presenting to senior management.
- experience in internal/external audit would be desirable.
- planning and organizational skills, proactive and self-motivated.
- high level of analytical skil