Job Responsibilities
- Govern controls across Commercial & Investment Banking Regulatory Operations (RegOps) functions by participating in key initiatives and ensuring timely and effective program oversight and execution.
- Ensure the Risk and Control Landscape of Operations complies with CORE standards and procedures.
- Provide oversight and review of Operations errors in accordance with the Corporate Operational Risk Event Standards and manage escalation to the relevant control committee.
- Conduct proactive reviews to prevent audit findings.
- Monitor action plans to ensure timely closure by testing and monitoring and support remediation post-reviews/audits by coordinating the administrative aspects of issue and action plan management.
- Oversee audit, compliance, and regulatory reviews.
- Provide guidance with respect to corporate policies, risk, and control management.
- Manage control-related activities, including risk/control identification and assessments, operational risk events, and issue management.
- Partner effectively with colleagues across the firm, including Product, Operations, Legal, Compliance, Risk, Audit, and Technology control functions, to drive consistent and rigorous operational risk practices.
Required qualifications, capabilities, and skills
- Bachelor s degree with 10+ years of financial services experience,
- Experience in Banking Risk and Control/Audit domains.
- Demonstrate knowledge of risks, controls and of relevant regulations and standard industry processes
- Problem solving skills - demonstrates solid critical thinking and attention to detail; able to synthesize large amounts of data and formulate appropriate conclusions
- Ability to effectively prioritize against a complex set of business demands and deliver against multiple priorities
- Able to navigate a complex environment and drive alignment around a common vision and strategy
- Strong ability to build relationships with colleagues, business leaders and functional partners
- Successful communicator with the ability to provide clear and succinct verbal and written updates
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) with the ability to develop compelling and meaningful executive presentations that will drive opportunities / recommendation for improvement
Preferred qualifications, capabilities, and skills
- Experience preferably in controls, risk management, or related functions.
