*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
*responsibilities*:
- manage and drive the incident management process from start to finish. (issue management process).
- experience on audits and internal/ external reviews.
- produce the weekly incident management report communicated with all senior leaders in supported lines of business.
- facilitates and ensures issue management quality standards are met for issues documented
- act as the single point of contact for issue metrics.
- transform raw data into useful metrics and reportable information for senior leadership.
- develops and produces issue and incident metrics for senior leadership on a weekly, monthly and quarterly basis.
- perform quality assurance over issues being reported on multiple executive level reports to include monthly operations decks and weekly control decks.
- leverage communication and influencing skills to guide issue and corrective action plan owners and issue managers during times of distress during the issue management process.
- keeps abreast of the organization's operational processes and best practices for business strategy.
- build partnerships with supported line of businesses operations leaders, process owners, client experience leaders, control leaders, and training, so that efforts are aligned with strategy and department efforts, regular two-way communication exists, downstream impacts are considered and business solutions are optimized.
- 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.
- ability to manage teams.
*qualifications*:
- ability to run and manage conference calls with business partners, technology and functional peers from multiple disciplines to reach a common goal.
- proficient with the icap system, experience with cognos is a plus.
- 4-10 years of