Manager - Control Management - Financial Services

Required Qualifications:

- University degree in Business or related discipline.

- 15+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 15+ years of financial services industry experience, of which 5+ years must include direct experience in risk management demonstrated through work.

- 3+ years of leadership experience demonstrated through work or military experience.

Desired Qualifications:

- Strong relationship management skills

- Ability to effectively listen and elicit information

- Experience leading, training, and providing feedback to staff and corresponding managers

- Management experience

- Ability to exercise independent judgment to identify and resolve problems

- Time management skills and ability to meet deadlines coupled with experience renegotiating times lines when needed.

- Audit or internal control evaluation experience preferably within the financial services industry.

- Experience drafting and executing control evaluation test scripts to assess the design and performance of internal controls.

- Experience implementing control evaluation methodologies to support the target state.

- Thorough knowledge of industry standards and best practices around control evaluations and risk management processes.

- Proficiency with risk types, methodologies and frameworks for evaluating or testing controls and assessing results, conducting research, and identifying control deficiencies.

- Experience in assessing risk, reviewing risk ratings, and identifying control deficiencies.

- Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; additional experience analyzing business and/or systems changes to determine impact.

- Familiar with various quality assurance techniques.

- Risk management experience with demonstrated leadership skills and ability to drive improvements.

- Proficient at influencing and consulting strategically across a large organization and with various levels of leadership/stakeholders.

- Experience communicating in both written and verbal formats with senior executive-level leaders.

- Balance strong, innovative problem solving skills with the practical ability to implement workable solutions to problems in a fast-paced, deadline driven environment.

- Demonstrated negotiation skills, especially with difficult topics when partnering with senior management. This includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary.

Job Expectations:

- Identify, assess and mitigate risks across all risk types, in coordination with LOB and assurance activities consistent with the risk management framework and policies established by Independent Risk Management.

- Leads control evaluations, which may vary in complexity and risk level, and may perform quality reviews of these evaluations. Proficient understanding of quality reviews to ensure the accuracy of evaluation scope, test scripts, assessment results, and control deficiencies identified.

- Consults on the development, maintenance and execution of control evaluation test scripts and evaluation strategies.

- Completes control evaluations on schedule. Maintains and executes the Evidenced-Base Control Evaluation Plan.

- Assesses, documents, and communicates emerging risks, themes and identified control deficiencies to management and risk partners in a timely manner.

- Ensures any potential control deficiencies discovered during the completion of the control evaluation are properly documented and follow through on reporting, escalation, and resolution.

- Foster strong relationships with team and collaborate effectively. Ensures coordination with team, line of business, other business units, Audit, and regulators on risk related topics.

- Completes applicable documentation in accordance with requirements.

- Ensures internal collaboration with the team, line of business, and risk partners.

- Aggregates emerging risks from teams as control evaluations are performed.

- Interfaces internally with the team, line of business, and risk partners.

- Dynamic leader role with the opportunity to lead project/virtual teams and mentor less experienced employees.

- Manages a team of Associate Managers, Officers, Senior Associates and/or Associates or cross-functional teams in accomplishing goals.