The Operations Control Management team plays a crucial role in ensuring operational excellence within Securities Services Operations and Network Management by implementing proactive risk management controls and utilizing cutting-edge data tools for better decision-making. Data Quality, Data Visualization, Data Lineage, and Machine Learning are at the core of their operations, creating a best-in-class governance and control environment for the success of Securities Services Operations & Network Management. It is a key function for Operations in the current environment and to meet the increasing demands from the business and regulators, the role has continued to evolve.
As a Client Account Services Control Manager within the Operations Control Management team, you will be responsible for ensuring the line of business has a sustainable and disciplined end-to-end control environment, identifying and escalating issues with a sense of urgency, and partnering with the business to ensure issues are remediated in a timely manner. You will assist in top-down risk analysis, real-time control issue detection, escalation, root cause analysis, and remediation.
Job Responsibilities
* Partner with stakeholders, evaluate and perform an end-to-end analysis of the business’ risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks.
* Ensure that controls are properly designed, operating effectively, and essential to a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols.
* Ensure control or regulatory items are escalated in a timely manner and partner with the business to report incidents in line with risk reporting standards and policies.
* Perform ongoing analysis of program related data (e.g., KRI/KPI) and develop ad-hoc reports as requested to support business-related programs and strategies.
* Assist with development of Risk & Control Self-Assessment mapping and documentation through participation in end-to-end process walkthroughs and deep dives with assigned business units.
Required Qualifications, Capabilities and Skills
* Bachelor’s degree or equivalent experience
* Relevant experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance
* Understands how operational risk is managed within the firm and the data sources, tools and governance forums leveraged
* Ability to apply Data Quality, Data Visualization, Data Lineage and Machine Learning to develop, implement and maintain a best-in-class governance and control environment
* Able to analyze data in different ways and highlight the key messages from the data analysis including recommended actions
* Excellent written and verbal skills given the communication required with global stakeholders.
* Able to manage competing demands under pressure for time and manage expectations across both Controls Management and Operations teams
Preferred Qualifications, Capabilities and Skills:
* Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
* Proficient in Intelligent automation tools like Tableau, Alteryx, UiPath
* Familiarity with Client Account Services and/or Custody processes
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