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Senior Manager, Control Testing and Management

3 months ago

Minneapolis, United States RBC Capital Markets, LLC Full time

Job Summary

Job Description

What is the opportunity?

The Senior Manager, Control Testing and Management will be responsible for designing, implementing, and executing the RBC Wealth Management-US (WM-US) control testing and management program in accordance with the RBC Internal Controls Management Policy (ICMP) and other Enterprise risk frameworks and standards.

This high-visibility role and team will lead WM-US' First Line of Defense control environment testing and management function, and in particular, perform control testing, assessments, and other control assurance activities to help ensure the design and operative effectiveness of firm controls, while maintaining the firm's control inventory, helping to ensure firm controls are documented accurately.

The Senior Manager, Control Testing and Management will work closely with a variety of partners across lines of business and functional groups to execute the control testing and management program, performing critical risk management activities and helping the firm achieve its business objectives.

What will you do?

  • Develop and maintain subject matter expertise under our ICMP, both with respect to control testing and control management; design and implementation of new control testing program expected within 3 - 6 months of hire
  • Develop testing calendar for 12-18 months following hire for initial lifecycle of testing, plus go-forward, ongoing calendar for recurring annual and new control testing
  • Draft procedures, templates, reference guides, etc., for executing design and operating effectiveness assessments and other aspects of testing
  • Lead testing kickoff and close out meetings with control owners to communicate plan and expectations, summarize findings/issues, lead discussions, and address questions/concerns
  • Negotiate findings and issues to be raised with control owners and their leadership, including issuing closing memos with observations, findings and/or issues from testing
  • Open formal operational risk issues for identified findings and issues from testing
  • Hire, train and manage Senior Business Risk Analyst(s) to perform bulk of testing
  • Perform and otherwise assist with testing as needed, especially initially

What do you need to succeed?

Must-have

  • Bachelor's degree in finance, business, or related field and proficiency in Microsoft Office Suite
  • Progressive experience in the financial services industry, with knowledge of industry processes, including qualitative analysis and quantitative research, demonstrated success in directing and leading projects and initiatives.
  • Strong knowledge of leading operational risk practices and regulatory expectations, including with respect to controls.
  • Skill and judgment to be able to deal effectively with and influence business partners, stakeholders, and senior management.
  • Proven skill in handling conflict, strategic thinking and decision making in a time-sensitive environment, meticulous attention to detail and strong written and verbal communication skills.

Nice-to-have

  • Three or more years of people management experience.
  • Experience working in US wealth management broker-dealer risk and/or compliance.
  • Series 7; Series 63/65 or 66; and Series 9/10 or Series 24.
  • JD or other professional degree.

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Flexible work/life balance options
  • Opportunities to do challenging work
  • Opportunities to take on progressively greater accountabilities
  • Access to a variety of job opportunities across business

Job Skills

Communication, Financial Instruments, Fraud Risk Management, Long Term Planning, Operational Risks, Project Management, Risk Control, Risk Management

Additional Job Details

Address:

250 NICOLLET MALL:MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-08-05

Application Deadline:

Inclusion and Equal Opportunity Employment

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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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