SR Business Controls Specialist - GCAOO QC/QA Governance

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Job Description :

This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF).

Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards.

Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.

Global Credit, Anti-Money Laundering (AML) and Onboarding Operations (GCAOO) delivers credit fulfillment, service and operations of credit offerings, operational accountability for leasing and trade finance solutions;

AML monitoring and refresh of client information; Onboarding for global market clients. The GCAOO Quality Control / Quality Assurance (QC / QA) team provides operational support by monitoring the completion of critical customer due diligence requirements as directed by the Bank Secrecy Act (BSA) and / or the Financial Crimes Global Standard with coverage extending to horizontal lines of business.

The GCAOO QC / QA team is seeking to strengthen its risk management and infrastructure by focusing on key AML customer due diligence processes that have high risk and significant visibility.

The incumbent for this position will be part of the newly created AML QC / QA team that is responsible for implementing the QC / QA strategy across multiple lines of business by deploying enhanced control monitoring and reporting to drive process improvements and oversight.

Role Responsibilities :

Defines scope, sampling requirements, and minimum requirements / standards for the GCAOO QC / QA program.

Executes governance routines that measure the adherence to the GCAOO QC / QA program requirements, including sampling adherence, root cause analysis for underperforming processes, corrective action plans, and reporting.

Analysis of quality results to pinpoint trends, themes, or areas requiring attention.

Works with senior management and other team members to produce performance results and analysis packages for senior management and communicates performance by facilitating meeting routines.

Maintains a culture of compliance and supports the identification, escalation and timely mitigation of compliance / quality risks.

Applies knowledge and expertise to influence business managers and peers to ensure enforcement of the QC / QA program.

Interfaces with auditors, business and support leaders.

Oversees the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards

Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation

Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts

Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness

Performs QA activities including executing on controls, managing cases, and reporting results

Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success

Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting

Required Qualifications :

3+ years of experience with risk management, and / or AML Know-Your-Client / Client Due Diligence (KYC / CDD disciplines in a global investment bank

Highly motivated, proactive and a self-starter; strong sense of ownership & ability to create and execute plans without daily oversight Awareness and understanding of the wider business, market and regulatory environment

Ability to interact and influence across all levels of the organization

Excellent verbal, written, and interpersonal communication skills

Data management experience (data quality, governance, etc.)

Strong Microsoft Office Suite (Excel, PowerPoint, Visio, etc.) experience

Highly motivated, proactive and a self-starter; strong sense of ownership & ability to create and execute plans without daily oversight

Control focused mindset and relative understanding of regulatory and reputational risks by applying adequate business context for appropriate groups like audit, regulators

Ability to manage multiple projects at once by prioritization and meeting deadlines

Able to identify and remediate risks in a timely manner

Critical thinker; ability to analyze problems and identify both tactical and strategic solutions to address

Knowledge of AML and / or GBGM businesses preferred

Ability to assess the effectiveness of arrangements to deliver effective governance, oversight and controls in the business

Project management, ability to deliver change at program level

Strong interpersonal and overall communication skills (written and verbal)

Must be flexible and have experience working in a fast paced environment

Skills : Controls Management

Controls Management

Issue Management

Monitoring, Surveillance, and Testing

Quality Assurance

Risk Management

Analytical Thinking

Attention to Detail

Critical Thinking

Problem Solving

Written Communications

Decision Making

Innovative Thinking

Prioritization

Recording / Organizing Information

Research

Shift :

1st shift (United States of America)

Hours Per Week :