Business Controls Specialist

1 week ago

Fort Worth, Texas, United States Hispanic Technology Executive Council Full time
Job Description:

This role is responsible for driving and executing 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.

The incumbent will be part of the newly created AML QC/QA team 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.

Key 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.

Requirements:

  • 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.

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