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Oversight & Control - Control Officer - Associate/VP

Req #: 170124064
Location: New York, NY, US
Job Category: Compliance
Job Description:

This role resides within the firm-wide Oversight & Controls team, fully dedicated to Compliance.  This position will support the effort to ensure effective & consistent implementation of Oversight & Controls framework, including but not limited Risk & Control Self Assessment (RCSA) across multiple functional areas in compliance. This role may include heavy analysis of outstanding audit, regulatory, compliance identified, and business identified issues and development of feedback loops to ensure impacted areas are leveraging this information for continuous improvement.   A heavy emphasis on being able to take a massive amount of information and develop broad categories of themes, and distill information for executive management is required to be successful in this role. 


Specifically, this position works in conjunction with the control officers to partner with senior members of the Oversight & Control team along with functional managers, compliance officers, program managers and other functional support groups (IT and IT Risk, Operational Risk Oversight, Compliance, Finance, and Audit) across the firm to support the development and implementation of a consistent approach to the management of controls across compliance  The over arching objective being to insure operational risks are appropriately identified, escalated, and mitigated. 




·        Assist with process mapping and risk and control identification sessions held within the business to support development, and periodic confirmation of the adequacy of scope and content of horizontal Risk and Control Self-Assessments (RCSAs).  VISIO skills desirable.

·        Assist with the coordination of Executive Risk Reviews and Bottoms Ups Process Mapping sessions designed to proactively identify, assess and prioritize risks

·         Assist with the maintenance of the Force System

·        Partner with colleagues across compliance to help drive a culture of risk awareness and proactive risk identification and assessment of horizontal risks within the business

·        Develop positive working relationships with Controls Team members and other business partners to maintain an open environment for collaboration, risk identification, and remediation

·        Maintain awareness of significant changes impacting compliance, both internally and externally, and ensure appropriate actions to mitigate risk and modify/expand control the RCSA and other control activities

·        Participate in various committees and meetings related to operational risk and control matters

·         Participate in, other operating risk and control projects or initiatives as assigned.

·         May assist with the development and maintenance of RCSA related reporting


·         May perform routine thematic data analysis


·         May assist with the development of status reports and presentations for management



  • Bachelor’s degree required
  • Strong data analytic skills / experience
  • 2+ years of experience in risk and control identification, analysis, assessment, and ranking
  • Strong knowledge of risk management and internal control principles required
  • Visio process mapping skills
  • Ability to work in a matrixed environment, provide oversight and directly influence change
  • Knowledge of Financial Services and their operational processes
  • Minimum of 1 years of compliance, legal, or audit roles; Certifications preferred     
  • Ability to collaborate with business and functional experts to provide risk assessment guidance and direction, and to recognize risks, control gaps and design enhancements
  • Strong organizational and multi-tasking skills with demonstrated ability to manage expectations and deliver results
  • High level of professionalism, self-motivation, and sense of urgency
  • Strong team player
  • Self Starter and ability to work independently 
  • Must be flexible and able to quickly adapt to change
  • Excellent communication skills (written and verbal) required
  • Proficiency in Microsoft Excel, Visio, MS Project and PowerPoint required
  • Familiarity with FORCE functionality helpful

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