Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area? Risk Management and Compliance Control Management  – Associate within the  RM&C Risk Management and Compliance (RM&C) team, you will spend each day working closely with key stakeholders to drive compliance and operational risk and controls initiatives, primarily related to Compliance Risk Assessment within RM&C. 

The Risk Management and Compliance (RM&C) Control Management team is responsible to create a strong and consistent control environment across the RMC organization. With Control Managers appointed for each Line of Business Function and Region, there is a comprehensive coverage/accountability model that promotes early compliance and operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate compliance and operational risk. 

Key Responsibilities:

Build a strong understanding and knowledge of Risk Management & Compliance, its policies and procedures, processes, risks, controls and issues in partnership with Office of Legal Obligations (OLO) Governance and Control Management (CM) colleagues Partner effectively with colleagues across the firm, including Control Management, Office of Legal Obligations (OLO), Compliance Conduct and Operational Risk (CCOR), Audit, Legal, and Technology, to deliver creative solutions providing business value, efficiency & process improvements Manage and execute key tasks through to completion and effectively, namely, applicability review and tagging, understand drivers and root cause of hygiene exceptions, coordinate queries across Control Management, OLO, CCOR, Legal etc. to effectively resolve exceptions, or escalate as required in a timely and effective manner, recommend tagging decision and partner with process control managers to confirm final decision, apply tagging in the system of record.  Perform thematic analysis to understand challenges, actively participate in process improvement initiatives.  Challenge status-quo, identify and address any process, controls and operating model improvements, and partner with colleagues to draft requirements, analyze data, design, develop and implement enhancements to improve overall efficiency.  Partnering with business and key stakeholders to document procedures, job aids, operating models and dependencies. Performing data analysis and definition of target operating models and processes Preparation of program and meeting materials, minutes and action items follow-up  Identifying meaningful metrics to inform on the health of the compliance and operational risk and control environment. Report/summarize various initiatives for management Understanding feedback from independent oversight parties and assessing gaps across RM&C  to ensure remedial measures are implemented to mitigate recurrence of similar issues.

Required Qualifications, Skills, and Capabilities:

Significant experience with the Compliance and Operational Risk and Controls framework, system and associated procedures 5+ years of relevant post qualification work experience in Risk & Controls Assessment, Internal Controls Design & Review, Control Management, Project & Stakeholder Management, Internal Audit Strong communication, project management, and collaboration skills  Creative problem-solving skills – ability to approach an issue / initiative with an innovative yet pragmatic, commercially reasonable approach to achieve desired outcomes  Possess a sense of urgency and resourcefulness with strong ability to anticipate issues and a passion for driving best practices Careful attention to detail, with keen ability to quality check own work and the work of others Self-starter, able to take the initiative and operate  in the group with minimum supervision on a daily basis Able to work effectively under pressure and in a rapidly changing environment in order to meet deadlines Highly proficient in Microsoft Office suite of products (Excel, SharePoint and PowerPoint)   

Preferred qualifications, skills and capabilities:

Prior experience with or demonstrated understanding of impact of laws, rules, regulations on Market Risk, Credit Risk, Liquidity Risk, Compliance Conduct and Operational Risk, or other risk stripes preferred. Advanced automation skills in Alteryx, PEGA, Tableau is a big plus  Confluence experience and any kind of workflow implementation experience using automated tools is a big plus Relevant experience in Risk Management & Compliance processes a plus