Manage control-related activities, including risk and control assessments when appropriate, risk event data occurrences, and new business initiatives and provide control related due diligence to business units to foster a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
Partner effectively with colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators and technology control functions to drive consistent and rigorous operational risk practices and Control programs including: control committees, risk mitigation, key risk indicators, control design and effectiveness evaluation/testing
Help establish control governance and reporting to identify meaningful metrics to inform on health of operational risk and control environment; escalate control breaks based on key reporting indicators; and manage control committees and forums.
Understand and drive control design that support unique regulatory environment for the broker –dealer subject to oversite by the bank and Retail Non-Deposit Investment Product handbook
Required qualifications, capabilities and skills:
Bachelor’s degree or equivalent experience required
10+ years of financial services experience in controls, audit, quality assurance, risk management, or compliance
Experience leading broad cross-functional teams to analyze, design, and deliver best practices
Demonstrate confident leadership and sound judgment to influence a strong culture and risk management
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) with the ability to develop compelling and meaningful executive presentations that will drive opportunities / recommendation for improvement
Business knowledge - ability to understand the business / knowledge of regulation surrounding the Wealth Management business and the ability to make subjective and informed decisions based upon output, influencing stakeholders and justifying decision making
Communication/presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
Networking – exceptional interpersonal skills; exceptional collaboration and relationship building skills
Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
Process analysis / design acumen – ability to understand a process and associated risk to inform control design
Problem solving, Analytical & Implementation skills - solid critical thinking, attention to detail and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions by understanding root cause / identifying control breaks, developing timely and sustainable solutions, analyzing metrics for emerging risks, writing Action Plans, Procedures and Change Management