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Controls & Regulatory Management Manager, Svp
4 months ago
The Liquidity Management Services (LMS) Controls and Regulatory Management (CRM) Risk Manager is a senior specialist who sits in the First Line of Defense and will cover North America to ensure a robust framework exists to manage and mitigate operational, compliance
and regulatory risks across the LMS business. This role will work partner with Product Managers and Business Heads, CRM teams, partners in Operations and Technology, and second line partners in Risk, Compliance, Operational Risk Management, and Legal.
This role will specifically own and execute risk and control programs and initiatives related to transformation activities, strategic programs, streamlining, standardization, risk read-across to enable safe and sound growth of the LMS business.
**Responsibilities**:
- Work with Management on governance and the facilitation of the execution of the Manager Control Assessment (MCA, i.e..Risk & Control Self-Assessment) as required by the MCA Standard including the assessment and appropriate approval of risk associated with business changes.
- Accountable for the quality, completeness, and accuracy of the implementation of the Control Framework, including Risk Control Policy, Control Standard, Issue Management Policy, Lesson Learned Policy and Control Inventory.
- Ensure the identification of issue root cause, partnering with control and process owners to recommend holistic corrective actions and improvements, provide check and challenge to ensure appropriate escalation in according with Issue Management and Escalation Policies.
- Direct teams in the implementation of the Lessons Learned Policy, including monitoring of control breaches and dissemination and learnings across other business units for process improvement to limit the occurrence of similar future events and where similar risk exposure might exist.
- Support management in the review and challenge process, within the FLUs, on the effective design and management of controls to mitigate risks as required by the Control Standards, including implementation and operation, conducting the control monitoring, handling deficiencies, and escalating issues for resolution.
- With management, direct teams on the timeliness, accuracy and completeness of the MCA through controls prior to the execution of a process (QC).
- Assess, with management, the adherence to the MCA Standard through controls after the execution of a process (QA).
- Assist management in exercising control over Operational and Compliance Risk in accordance with established Policy requirements.
- Help management allocate resource to identify, assess, escalate, and manage risk exposures across Risk Categories (Operational Compliance, Strategic, Reputational, etc), including material, emerging and concentration risks in accordance with enterprise Policies and the establishment of Key Indicators to monitor risk exposures.
- Assess, with management, Risk Appetite and monitor / assess exposures against this in accordance with enterprise requirements (if applicable).
- Take ownership to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured accurately, timely and in accordance with requirements.
- Responsible that adequate governance and training are in place to support management of Risk profiles.
- Assess, with management, the risks associated with New Activities and changes to the Business, ensuring these are well understood and adequately controlled (if applicable).
- Support management on operational risk scenario analysis and stress testing for Operational Risk Capital requirements.
- Take ownership to ensure that risk and control responsibilities and accountabilities are embedded within FLUs, including providing training and leading by example.
- Assist management in guiding and influencing standards and procedures that conform to enterprise requirements and support sound operational and compliance risk management.
**Skills and Experience**:
- Minimum ten years in the Financial Services industry leading similar role
- Experience with Controls., Enterprise Risk Management, Risk Frameworks
- Ability to lead and drive controls across the products and functions
- Ability to manage through influence
- Ability to build rapport and work closely with key senior stakeholders and partners
- Up-to-date understanding of key risk and control concepts, tools and trends relating to:
- Risk identification
- Rating and prioritization, mitigation, and reporting
- Operational Loss Events
- Proven leadership skills as well as people and team building skills
- Excellent communication skills (written and verbal)
- Risk-based thinking and analytical mindset
- Self-starter who can work independently
- Strategy and execution skills to prioritize areas of focus while also driving implementation in a large and matrixed environment
- Ability to work on virtual projects and across virtual teams to get work done
- Ability to multi-task and manage concurrent
