Manager of Business Controls

2 weeks ago

Iowa, United States Equiniti Full time

Management Level

Equiniti stands as a prominent global provider of shareholder, pension, remediation, and credit technology solutions. With a workforce exceeding 6000 employees, it serves 37 million individuals across 120 nations.

Our vision at EQ is to establish ourselves as the foremost global share registrar, delivering complementary services to our clientele. Our core values are the bedrock of our success: we are TRUSTED to fulfill our commitments, COMMERCIAL in fostering long-term value, COLLABORATIVE in our interactions, and we IMPROVE by continuously enhancing our skills and services. There has never been a more opportune moment to be part of EQ.

Role Overview

The Business Risk & Controls ('BRC') team operates as a specialized First Line team within the Equiniti US Shareholder Services division. This position entails overseeing and executing the group control framework. Collaborating closely with various product lines and other Business Risk & Control teams, this group is tasked with governance and comprehensive oversight of the control landscape and strategy for the Division, including control design, operations, enhancement implications, controls testing programs, and key controls oversight within the system of record. The group ensures adherence to best practices in collaboration with the 2nd and 3rd Lines of Defense.

The BRC team aligns closely with business units for operational risk and control framework activities, which encompass design, implementation, ongoing monitoring/reporting, and testing/validation of controls. This sector of our business is rapidly evolving within a dynamic environment, presenting both challenges and demands.

Key Responsibilities

  • Oversee the development, maintenance, and ongoing enhancement of the Central Controls function, which includes Controls Design, Testing, Strategy, Governance, Digitization, and Remediation.
  • Assist management in identifying and mitigating risks arising from internal processes, personnel, systems, or external events to inform the controls framework and identify remediation/prevention strategies.
  • Conduct read-across analysis across US Shareholder Services, utilizing relevant findings from controls-related activities across businesses and actions taken from the controls system of record to inform the control framework.
  • Develop and implement comprehensive reporting on all controls-related topics at the Divisional level. Maintain documentation and evidence of governance processes for changes in the control landscape across the Division.
  • Act as the divisional representative for all Controls Framework matters across the business.
  • Lead assessments of the control landscape across the Division to identify weaknesses and collaborate with businesses and the second line to create an implementation plan to mitigate perceived risks.
  • Review existing and new key controls, conducting thematic deep dives into control coverage and effectiveness as necessary.
  • Drive key controls review, owner training, and self-assessments per control framework standards as part of the annual activities driven centrally by EWRM.
  • Ensure controls remediation across systems is executed according to exceptions reported by the Enterprise-wide Risk Framework, maintaining consistency across control systems of record.
  • Guarantee that key controls are consistently updated in the system.
  • Develop and maintain the Key Control Cockpit to enhance transparency across key control tracking metrics within the Division.
  • Engage extensively with senior partners, including presenting at various governance meetings as required.
  • Collaborate with first line Control Owners to develop, design, and enhance controls.
  • Partner with Enterprise Risk Management, Compliance, Legal, Risk, and other second line functions, as well as Internal Audit.
  • Promote a positive risk and control culture.

Qualifications and Skills

  • 7+ years of experience in the Finance industry, preferably with a background in Shareholder Services and prior experience in a Controls discipline (e.g., Internal Audit, Compliance, Operational Risk, Controls).
  • Proven ability to build and lead a team of control specialists.
  • In-depth understanding of key concepts in control design, enhancement, implementation, testing, and reporting.
  • Experience in conducting detailed controls reviews, evaluations, and identifying areas for improvement with a focus on digitization.
  • Demonstrated proactive management of control gaps at a first line level.
  • Ability to collaborate across various business types and second line functions, including Legal, Compliance, and Risk.
  • Delivery-focused with a proven track record of driving projects, reviews, and tasks to completion at a high standard.
  • Excellent verbal and written communication skills, capable of articulating complex control issues in a structured and concise manner.
  • Strong analytical skills with proficiency in Microsoft Office, particularly Excel and PowerPoint.
  • Proven capability to lead and facilitate control review meetings, establishing benchmarks for excellence.
  • Exceptional organizational and project management skills.

Compensation

  • $110,000-130,000 per year

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.

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