Control Management maintains a strong and consistent control environment across the firm. With Control Managers appointed for each Line of Business, Function and Region, there is a comprehensive coverage and joint accountability model with the business executives that promotes early compliance and operational risk identification and assessment, effective design and testing of controls and sustainable solutions to mitigate compliance and operational risk.

As a Control Management Senior Associate within Treasury/Chief Investment Office (“T/CIO”), you'll be responsible for supporting the Business in maintaining a sustainable and disciplined end-to-end control environment, identifying and escalating issues with a sense of urgency, and partnering with the Business to remediate issues in a timely manner. You would be in the 1st Line of Defense responsible for partnering with Business Executives and Process Owners to anticipate / identify compliance and operational risk in business processes, consider their potential impact, design effective, practical, measurable, and sustainable controls to minimize those specific impacts and regularly monitor, measure, and communicate control effectiveness.

Job responsibilities: 

Serve as a trusted controls partner to the Business and act as their go-to for all controls related mattersSupport the execution of the Control and Operational Risk Evaluation (CORE) program for T/CIO, with a focus on the Global Execution Middle Office function, supporting the Investment Portfolio and Treasury Funding teams:Maintain the CORE Process, Risk and Control inventory, and related risk impact and control effectiveness ratings to provide an accurate reflection of the business’ operational risk profile;Partner with the central testing utility to assess the results of control design and performance evaluations;Lead top-down risk analysis, real time control issue detection, escalation, root cause analysis and remediation; Work with a sense of urgency on emerging issues;Perform lessons learned analyses on internal and/or external risk events and assess potential weaknesses / identify opportunities for improvementIdentify meaningful metrics (KRIs/KPIs) as indicators of the operational risk and control environment; escalate control deficiencies based on key reporting indicators;Facilitate change management reviews with Process OwnersExecute against the requirements of various other firm control and compliance programs, which may include but not be limited to: SOX and CCAR CFO Attestation Program, NBIA/business change management, Office of Legal Obligations, Estimations and Model Risk Management, User Tool, and Intelligent Solutions Control FrameworksPartner with colleagues from the LOBs and Functions such as Compliance, Risk, Legal, HR, and Technology to drive consistent and rigorous operational risk and control practices; partner with regional business and other control partners in an effort to create consistency in the control environment and underlying processes globallyRespond timely to challenges and recommendations from the 2nd Line of Defense (Compliance Conduct & Operational Risk) and 3rd Line of Defense teams (Internal Audit) teams; support Regulator and other reviews and escalate inquiries and findings as necessary; contribute items for escalation to the T/CIO Control Committee

Required qualifications, capabilities, and skills:

Bachelor’s degree required 5 years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance

Preferred qualifications, capabilities, and skills:

Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) preferredSubject matter expertise in portfolio management, treasury, and/or trading operations processesUnderstanding of banking regulations