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Corporate Functions Compliance - Oversight & Control - Compliance Associate

Req #: 170113207
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)

Oversight & Control Associate -  

This role is aligned with Employee Compliance teams, including Code of Conduct, Global Anti-Corruption, Personal Account Dealing, and Licensing & Registration.  This position will support the effort to ensure effective and consistent implementation of Oversight & Controls framework, including but not limited to Risk & Control Self-Assessment (RCSA) across multiple functional areas in Compliance.  This role will require significant analysis of current processes and controls, as well as the formulation of suggestions on how to improve the current control framework. 

 

Specifically, this position works in conjunction with the control officers to partner with senior members of the Oversight & Control team along with 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 general objective is to ensure risks are appropriately identified, escalated, and mitigated. 

 

Responsibilities:

·         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 RCSAs.  Visio skills are desirable.

·         Perform review / examine current processes to identify and quantify inherent risks and to evaluate existing controls, proposing enhancements where appropriate.

·         Assist with the coordination of Executive Risk Reviews and Bottoms-Up 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 operational risk and control projects or initiatives as assigned

·         Develop and maintain RCSA-related reporting, including status reports and presentations for management

  

Qualifications

·         Bachelor’s degree required

·         Strong data analytic skills / experience

·         Project management experience

·         2+ years of experience in business or IT risk and control identification, analysis, assessment, and ranking

·         Strong knowledge of risk management and internal control principles required

·         Visio process mapping skills a plus

·         Ability to work in a matrix environment, provide oversight and directly influence change

·         Knowledge of Financial Services and their operational processes desired

·         Minimum of 2 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

·         Proficiency in FORCE desired

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