Job Description

Control - M3 Responsible for identifying, analyzing, monitoring and minimizing business risks in Asset Servicing & Digitals Front Office Solutions business line, and ensures that proper control policies and procedures are in place. Conducts control testing and reporting on control standards. Develops training on policies and procedures concerning controls and risk management. Monitors and performs root cause analysis on key risks, threshold and limit breaches, errors/near misses, and reconciliations breaks. Analyzes and determines appropriate level of management escalation and intervention. Leads and contributes to development of policies and procedures, enhancement of risk and control framework (RCSAs, KPI and KRI) and overall assessment of effectiveness of the control environment and alignment to the business s risk appetite. Manages complex projects that involve working with businesses to improve controls to mitigate any deficiencies. Ensures controls meet regulatory and organization standards. Projects are usually broader and focused on long-term operational issues. Contributes to strategic projects/initiatives for the function. Uses in-depth knowledge of market trends to determine potential risks to the organization. Manages analysis and draws conclusions in order to recommend and direct any resulting change needed to mitigate risk. May have matrixed management responsibility and oversee geographically dispersed teams, and will be expected to be able collaborate horizontally across the organization, adding to the complexity of duties. Must be qualified to be responsible for the achievement of goals and objectives comprising of multiple teams, talent management and supervision of Control professionals and other managers, as needed.

Qualifications

Bachelors degree or equivalent combination of education and work experience required. Advanced degree preferred 7-10 years of total work experience with 1-3 years of management experience preferred. Experience in the securities or financial services industry specifically in broker-dealer services and/or with a registered investment advisor. Ideal candidate would have a FINRA license 24. Series 7 certifications, and/or CFA would be a plus.