Operations Control Job Description

Operations Control Job Description

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Operations control provides insights and commercial advice while maintaining an understanding of the industry trends, best practices, and industry financial measurements.

Operations Control Duties & Responsibilities

To write an effective operations control job description, begin by listing detailed duties, responsibilities and expectations. We have included operations control job description templates that you can modify and use.

Sample responsibilities for this position include:

Evolve the QC workflow to incorporate predictive models to make intelligent decisions on what files should be checked
Build and maintain effective relationships with domestic and international QC vendors
Set a strategic vision for the QC team while ensuring excellent tactical execution
Design and refine the QC vendor training program to ensure it is current in both technology and scale
Partner with QC leads to develop an efficient solution for onboarding new QC operators quickly without sacrificing quality
Identify and analyze key vendor metrics to spot trends, diagnose issues and reinforce quality standards
Partner with internal cross-functional teams like operations and engineering to ensure strategic alignment across the digital supply chain
Liaise closely with the Americas COO’s office to understand key regulatory developments as they are announced, and discuss internally with partners in Operations locally, regionally and globally
Subject Matter Expert, seen as the ‘go to’ person both within Operations, and other stakeholders, not limited to Americas, but also for general Global Regulatory Change, Industry views, especially regarding DFA Reporting
Take a global view of the regulatory change impact to Operations arising from the Americas regulators and communicate this internally

Operations Control Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Operations Control

List any licenses or certifications required by the position: IAT, II, ITIL, FAA, ACAMS, MS, VT, DR, UAT, TCOP

Education for Operations Control

Typically a job would require a certain level of education.

Employers hiring for the operations control job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Accounting, Finance, Education, Supervision, Science, Management, Chemistry, Associates, Economics

Skills for Operations Control

Desired skills for operations control include:

Financial Services Industry
MS Office Suite
Excel
AIFMD
FATCA
IMR
Regulatory requirements and industry best practices like CASS
Databases and their functionality
UCITS V will be an added advantage
Migration activity and new products

Desired experience for operations control includes:

Broadcast Technical and Operations experience to include but not be limited to
Advise and support the business with respect to risk, control and compliance issues
Serve as department facilitator for all audits and regulatory examinations
Coordinate the BCP plan for the department, including all plan documentation, testing schedules, and compliance with internal standards and requirements
Represent the Control role and GFS Infrastructure in client due diligence meetings
Assists in developing and implementing quality assurance and risk assessment audit measures, with an emphasis on promoting a culture of learning and continuous improvement

Operations Control Examples

1

Operations Control Job Description

Job Description Example
Our growing company is hiring for an operations control. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for operations control
  • Provide key subject matter expertise for all customer protection related initiatives, projects, daily requests and centrally track CP related changes, enforce proper testing protocol and validate results prior to providing approval
  • Coordinate and participate in project testing efforts where required and engage with key vendors on technology enhancements, testing coordination/validation, and risk management plans to mitigate implementation risk
  • Prepare management executive summary, departmental metric and daily/weekly management reporting and provide training and guidance to strengthen Customer Protection understanding across the organization
  • Participation in the enforcement of a control framework covering Customer Protection related functions/themes and identify Customer Protection control deficiencies and track remediation of deficiencies across all business and support areas impacted
  • Leverage the value in unit, department, and enterprise wide teams to develop better solutions and achieve a cross enterprise mindset and accept and successfully execute change while supporting employees through the process, and keeping them focused on business priorities
  • Review new and updated Firm Policies applicable to your business and communicate such Firm Policies to employees for whom you have supervisory responsibilities
  • Oversee the updating of process control documentation by the LOB (process maps, business self-assessment, ) throughout the year, as process/controls/staffing changes occur
  • Complete the requirements as set out by the Global Risk & Control function in respect of specific initiatives and projects payment controls including SSIs, payment thresholds, segregation of duties, Quality Assurance testing, OFAC controls, confidential data, balance sheet & EIRT
  • Work closely with other divisions Middle Office, Technology, Finance, Audit, and Compliance on key control issues to develop appropriate reporting and processes
  • Audit Point and Incident Reporting – Serve as gatekeeper and regional representative for all internal & external audit points raised for Americas Group Operations
Qualifications for operations control
  • College Degree or equivalent years of industry experience may be substituted for degree requirements
  • Conducts quality control for identified business units across Canada
  • Ensures all policies and procedures meet or exceed minimum regulatory compliance standards of practice and or generally accepted principles and practices
  • Monthly coordinate across the ORG organization other Operations risk teams to collect data which is required for the production of the Global report
  • Maintain counterparty repository of information
  • MA, MBA or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics
2

Operations Control Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of operations control. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for operations control
  • Partnering with third-party admin to suggest and improve technology, processes, and controls
  • Project managing and driving firm initiatives of varying size and scope, requiring a high-degree of interaction with Citadel Technology
  • Acting as a liaison with Front and Back Office personnel to understand upcoming business initiatives and analyzing associated impacts
  • Working with Senior Management to compile and deliver semi-annual scorecard to third-party admin
  • Supporting Operational Risk Governance and Reporting including but not limited to internal incidents, audit/ inspection findings, issues & actions, depth chart reviews
  • Help promoting risk culture through regular communication and sharing, risk identification and assessment, training, metrics and reporting, audit/ inspection coordination
  • Carry out regular staff meetings with shift managers
  • Be prepared to fill in as Command & Control Manager on as needed basis
  • Coordinate with other teams such as Planning, Recruiting, NOC, Equipment, Fufillment Centers, Sort Centers to meet daily operational needs
  • Responsible for training managers and that they are directing daily operations as expected by Command & Control Manager
Qualifications for operations control
  • Ability to acquire and apply new/enhance subject matter expertise
  • CPA (required)/CIA (preferred)
  • Strong team player and strong communicator, able to contribute to discussions on design and strategy
  • Have the interpersonal skills to work well in a truly global environment, complementing teams in other locations
  • Gather/analyze complex data, develop accurate conclusions and provide recommendations with sufficient comprehension of the business to understand Control implications
  • In partnership with other team members, provide end to end ownership and accountability for assigned tasks
3

Operations Control Job Description

Job Description Example
Our company is growing rapidly and is hiring for an operations control. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for operations control
  • Create and monitor continuous improvement of strategy and design for Command & Control operations with ‘root cause’ based solutions
  • Showcase flexibility with hours of work to support Operations
  • Ensure updated standard work SOPs and trainings are available to all teammates
  • Review any region specific regulatory issues
  • Assist with periodic procedure reviews for existing processes, those for new processes created by implementations and take-on activity
  • Performs proactive focused reviews according to agreed priorities of end to end processes and/or clients and key risk areas to maintain quality levels and identify areas for enhancement
  • Assist the Business Unit in the development of controls and measures to identify excessive operational risk and/or control problems
  • Ensure that current policies and procedures are in place, and are being followed for the business unit functions, and are in compliance with organisational standards
  • Under direction of Control Managers, partner with various risk management and control groups throughout the organisation
  • Assist locally with in conduct of audits
Qualifications for operations control
  • Strong understanding and experience with operations regulatory reporting frameworks
  • Experience overseeing the creation of rule summaries, use cases, test cases is a plus
  • Assist in the generation and/or publishing of recurring control reporting
  • Experience across major asset classes, included equities, fixed income and derivatives
  • Detailed level of knowledge on front to back investment banking products & booking flows and the ability to challenge both internal stakeholders the business
  • Candidates should have 7 - 10 years of related business experience
4

Operations Control Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of operations control. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for operations control
  • Support regulatory requests and initiatives, such as Rate Cases, grid modernization initiatives and activities, and other regulatory filings
  • Work closely with the Financial Budget Analyst to facilitate the annual financial planning process for CCO
  • Gather and prepare materials for departmental Staff Meetings, executive monthly Cadence Meetings, monthly Budget Review Meetings
  • Provide CCO representation on various internal and external groups and committees, to ensure the interests of CCO are represented
  • Act as CCO’s Compliance Champion and lead all compliance initiatives, including coordination of CCO’s Certificate of Assurance (CoA)
  • Develop, track, and modify safety objectives and plans lead safety enhancement initiatives
  • Scope of responsibilities encompasses 3.0+MM customer accounts, 430+ deposit products, 13 system applications, 1+MM transactions daily, and $1+B in daily movements
  • Keeps a detailed log of all incidents, including root causes and aging, and follows-up with IT Support in the clearance of system incidents
  • Assist in the development and testing/certification of new accounting processes and controls
  • Conducts Internal Control Assessment and Certification process of Financial and Operational Controls
Qualifications for operations control
  • Minimum of five (5) years’ experience in functions such as vehicle management policies and procedures
  • Monitor and report firms substantial equity positions and trading activity in accordance with various regulatory position requirements
  • Research short position reports and complete regulatory filings
  • Good experience in audit, compliance or internal controls is a plus
  • Liaison with Legal and Compliance and IT to analyze, interpret and incorporate market and regulatory changes from regulators
  • We will be training the incumbent to meet our requirements, therefore extensive knowledge of the CSA operations is not required
5

Operations Control Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of operations control. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for operations control
  • Researches, Analyzes, and Resolves discrepancies in Financial/Accounting positions identified by Partenon for the purpose of preventing possible future occurrences
  • Tests the Financial/Accounting/Operational controls that have been put in place within operations to ensure that such processes are performed in accordance with Bank Policy and Government Regulations
  • Monitors the Financial/Accounting/Operational Controls performed by the Servicing Team
  • Prepares and distributes required reports/KPIs to the proper reporting stream, including the Control Area Responsible (CAR)
  • Should have the ability to maintain various MIS reports and should ensure timely completion of all the MIS and other ad-hoc reports to be submitted to management
  • Relevant Bachelors/Masters Degree or equivalent experience in implementing an operational plan related to mosquito, vector or pest control, or ecological research or management
  • Demonstrated experience planning and managing field trials or field-based operations involving insect pests or other species
  • Experience managing relationships with multiple internal and external stakeholders
  • Troubleshooting Remote Control issues and supporting repair and maintenance of Remote Control system in region
  • Oversee configuration and maintenance of Remote Control equipment in region
Qualifications for operations control
  • Strong communication, negotiation and analytical skills are necessary to consult with partners/clients throughout the organization regulators and auditors
  • Process know-how and ability to systematically assess and challenge existing processes of the EMEA Depositary [Operations] business
  • A strong understanding of Fund Accounting processes is required
  • An understanding of Depositary end-to-end processes, Safekeeping & Custody, and/or Transfer Agency would be advantageous
  • Ability to work collaboratively with partners in problem solving
  • Ability to identify and assess risk in business processes and migration activity

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