The Corporate Control Group, a function of both Corporate Controllers and the Oversight & Control Group, partners with Finance, the Lines of Business and IT Control groups to create and maintain a sound control environment with the goal of preventing, identifying, escalating, measuring and timely remediation of Finance control issues. The Corporate Control Group is responsible for overseeing the execution of the Firmwide control framework across the Corporate Finance businesses, understanding and assessing Firmwide Finance control issues and is responsible for the Firm's Sarbanes Oxley framework. The Corporate Finance Control group resides within the Corporate Control Group.
The Corporate Finance Control group is responsible for compliance with the Firm-wide control framework across the Corporate Finance businesses including, but not limited to, Corporate Controllers, Financial Control, Regulatory Capital Management Office, Corporate Tax, Finance & Risk CFO Organization, and the Corporate Sector CFO group. This involves establishing appropriate and meaningful risk measures and controls across all Corporate Finance areas and executing robust governance and oversight.
The control agenda includes, but is not limited to:
• Business Resiliency
• Risk and Control Self Assessments
• Active issue management
• Sarbanes Oxley compliance
• Risk Event Monitoring
• Manage the business resiliency agenda for Corporate Finance which includes overall strategy, recovery time assessment, plan development, dependency assessment, crisis management, testing preparation & execution, tool administration (RDMS & GENT), quality assurance, and metric preparation for Senior Management
• Manage the risk and control self-assessment process for multiple business units globally (US, UK, and India). This includes partnering with the business to identify & evaluate key risks/controls/issues, implementing standards, meeting frequency requirements, and performs control evaluation. This also includes leading executive risk reviews and residual risk evaluation with the business.
• Lead or participate in monthly/quarterly calls with business partners based on a control agenda
• Coordinate risk-based process reviews and pre/post audit reviews
• Implement Corporate or LOB policies, procedures, or other initiatives related to control enhancements or best practices
• Manage execution of strategic initiatives and projects as needed (e.g. controls around models, User Developed Tools etc) for assigned Corporate Finance functions
• Communicate effectively to Finance business partners and other control functions
• Understand global finance business, organizational, and policy impacts on Corporate Finance and associated control programs
• 3+ years of financial services experience
• Accounting background and working knowledge of SOX management & testing is plus.
• Experience with, or knowledge of, implementing effective control environments
• Strong analytical and evaluation skills with the ability to evaluate processes and assess the operational and financial impact of findings and control issues, communicate findings and develop recommendations
• Outstanding ability to solve problems with the ability to exercise sound and balanced judgment and keen attention to detail but also the ability to see the "bigger picture"
• Inquisitive and proactive in identifying risks and proposing solutions
• Ability to coordinate issues, findings and recommendations with colleagues across regions and/or divisions
• Quick learner with the ability to identify changes to the business functions, organization and processes and assess their impact to resiliency and the control environment
• Exceptional ability to communicate effectively (both oral and written)
• Excellent relationship management skills with ability to present, persuade, and collaborate effectively with management at all levels
• Ability to prioritize in a fast moving, high pressure, constantly changing environment
• Self-motivated and ability to work independently
• Excellent desktop skills (Excel, Word, Access, PowerPoint)
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