Apply Now    

Operations Control Management (Analyst)

Req #: 180016856
Location: Newark, DE, US
Job Category: Operations
Job Description:
Key Responsibilities:
Governance and Oversight
  • Responsible for governance of controls across all CIB Operations functions.  Partners with BCO to implement COR standards, design & implement CIB specific framework
  • Chairs Operations metric review  meetings and manages Operations error and event escalations to the appropriate committee and/or forum
  • Participate in control meetings to provide view on Operations control risks and issues
  • Participate in Keys Committee to provide (through consensus) Operations approval.
  • Facilitates review and sign off for Operations attestations
Regulatory & Audit Management
  • Works in partnership with the BCO to coordinate responses to and advise on regulatory inquiries and exams
  • Supports the BCO with the remediation post exam and coordination of the administrative aspects of issue and action plan management
  • Focus on themes, underlying patterns and opportunities for Operations to proactively address concerns and avoid future Regulatory actions
  • OCMs should be familiar to of the regulatory obligations for their coverage area operational activities in order to assess the effectiveness of the controls designed to ensure compliance with those obligations.
  • Partners with Legal and Compliance to confirm impacts from regulations and ensures proper implementation.
  • Partners with Operations to prepare for audit / compliance testing.  Coordinate responses and drive required remediation actions (incl. sustainability)
  • Supports the Central Controls Office with the coordination of consistent business messaging (exams and non-exams) and alignment with global and corporate initiatives  
Risk Identification and Assessments
  • Provides oversight and review of Operations errors in accordance with the Corporate Operational Risk Event Standards and manages escalation to the relevant control committee
  • Review and evaluation of emerging risks & Internal / External event review
  • Responsible for execution of the Risk Control Self-Assessment (RCSA)
  • SOX testing and SOC1 delivery
Policy and Procedures
  • Support the implementation of Corporate owned Policies, with specific focus on the design of Operations controls required to comply with the policy.
  • Oversee the implementation of Operations owned Policies and Standards. Lead the definition and implementation of enhanced controls required to fulfil regulatory commitments and evidence sustainability
  • Oversee the development and implementation of procedures which describe process, controls and governance for all policies and standards which impact CIB Operations
  • Partner with Legal and Compliance to review, refine and enhance policy prior to publication
Training and Awareness
  • Input and co-ordination in executing training
  • Monitor compliance with mandatory training requirements across Operations
Ongoing Monitoring
  • Monitor and oversee timely closure of Operations issues and action plans
  • Perform deep dives to determine root causes, initiate thematic reviews, review metric/trends, and remediation  actions
  • Responsible for periodic health checks to ensure ongoing adherence to policies and standards.  Where appropriate oversee remediation of issues
Control Initiatives
  • Supports the Central Controls Office with the coordination and execution of Global Control Projects and Programs 
Qualifications / Experience Requirements:
  • Bachelor’s degree.
  • Previous relevant risk and control experience.
  • Previous relevant business and product knowledge.
  • A strong sense of ownership and responsibility.
  • Ability to produce clear, concise, relevant and accurate documentation.
  • Strong analytical skills with complementary communications and presentation skills with attention to detail and accuracy.
  • Drives results through leadership, people, communication and influence.
  • Comfortable with change, ambiguity, debate, conflict and informed risk taking.
  • Able to manage and deliver on multiple streams of work concurrently.
  • Willingness to make decisions, while ensuring buy in from stakeholders.
  • Ability to challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective.
  • A relevant professional qualification is desirable; ACA or IIA for example or external audit experience in the investment management audit practice of an accounting firm.
Apply Now    
Link for schema

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Other Information

Apply Using LinkedIn

You can also apply using your LinkedIn® profile. It may save you some time because your information will be automatically transferred into our system. Just click on the LinkedIn logo when you get to the application screen and follow the directions.

Submit an Updated Résumé

During the application process, be sure you have an up-to-date copy of your Résumé, your cover letter and any other documentation you would like to submit.