Senior Control Analyst Job Description

Senior Control Analyst Job Description

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Senior control analyst provides risk management (Operational, Compliance, Strategic and Fiduciary Risk) oversight and guidance to the management and staff.

Senior Control Analyst Duties & Responsibilities

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

Sample responsibilities for this position include:

Regional responsibility for the production, articulation and delivery of management information for the CM Operations organisation
Client performance updates for the region and assisting in global updates and analysis were required that go beyond financials
Develop processes and reporting to track and control costs
Provide analysis, monitor and measure the regional business strategy and partner with managers to effect change across the organization (e.g., business growth strategy, cost reduction strategy)
Responsible for month-end FVA reporting to Finance central management
Examine the effectiveness of controls
Develop meaningful and effective working relationships
Daily submission of calculated PNL and PNL decomposition to the DFR (Daily Financial Report) for Front Office trader sign-off
Ensure trader sign off is received on a timely basis and resolve trader estimate to actual variances
Prepare Journal Entries related to the P&L and Balance sheet as required

Senior Control Analyst Qualifications

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

Licensing or Certifications for Senior Control Analyst

List any licenses or certifications required by the position: CISA, CISM, CISSP, CIA, CPA, ISO, SAP, CRM, CRCM, CMA

Education for Senior Control Analyst

Typically a job would require a certain level of education.

Employers hiring for the senior control analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Accounting, Business/Administration, Management, Business, Economics, Education, Government, Chemistry, Financial Analysis

Skills for Senior Control Analyst

Desired skills for senior control analyst include:

Both Manual and Automated testing
RCSA procedures and testing process frame work
Basel
Operational risk assessment and treatment methodologies is an asset
Six Sigma
Changes to the regulatory environment to ensure proper compliance with processes and requirements are followed
Phoenix Operational Risk Management system and Application Lifecycle Management software
Application Lifecycle Management software
FORCE system
Federal

Desired experience for senior control analyst includes:

Remains current with developments/change in regulatory environment and advances in quality and risk/audit practices
Contributes to the ongoing development of the team by sharing information, issues/points of interest, knowledge and lessons learned on a regular basis
Fosters a culture that promotes ethical practices and a high degree of integrity
Understanding of risk based Greeks (delta, gamma, vega)
Minimum 5 years in the Financial Services industry with background in Risk/Control Assessment, Auditing, Quality Assurance or Risk Management required
Degree in Mathematics, Statistics, Computer Science, Financial Mathematics, Financial Engineering in combination with business / accounting is preferred

Senior Control Analyst Examples

1

Senior Control Analyst Job Description

Job Description Example
Our growing company is looking to fill the role of senior control analyst. 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 senior control analyst
  • Ad hoc projects as directed by WM Finance SMT
  • Ensuring statutory accounts (special purpose financial statements) are completed in a timely manner for review by Finance Manager and Auditors
  • You will also act as a Point of Contact for PwC External Audit to ensure queries relating to the statutory accounts are addressed in a timely manner
  • Provide data and supporting schedules relating to the statutory accounts where requested
  • Liaise with external advisers as required to ensure tax compliance requirements are met.Tax services are outsourced to external service providers but this role will be responsible for ensuring the information provided to advisers is accurate and relevant
  • Balance sheet reconciliations are completed by external service provider, IBM
  • Taking accountability for individual analysis work streams and leading junior BA’s
  • Transforming high level business goals into low level requirements to define the scope of a project
  • Being responsible for data and systems analysis to support documentation and understanding of the current-state
  • Gaining client and Information Technology (IT) sign-off, of requirements documents and specifications by conducting walkthroughs, presentations and formal reviews
Qualifications for senior control analyst
  • Finance/accounting background, with 3+ years of Financial Industry Product Control experience
  • Strong MS office Excel (spreadsheets, macros) and Access (pulling queries)
  • Systems experience potentially including HP Quality Center, in-house reporting systems (Oracle BI EE) and exception management systems
  • Minimum 3-5 years of experience in Business Analysis or Change/Project Management
  • Accounting designation (CA, CMA, CGA) - Strong Finance/Accounting educational background
  • Bachelor’s degree in business administration or related discipline preferred
2

Senior Control Analyst Job Description

Job Description Example
Our innovative and growing company is hiring for a senior control analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior control analyst
  • Experience working as a BA in a technology team in a financial services organisation (preferably a tier 1 Investment Bank)
  • An in-depth understanding of business analysis (including knowledge of at least one requirements management / modelling tool), and the ability to select the right tools / methodologies for a given task
  • Extensive experience of the Agile methodology
  • A good understanding of the technology project lifecycle
  • A Bachelor’s degree or equivalent qualification (preferable)
  • Flexible, with the ability to organise and prioritise the work of the team to meet tight deadlines
  • Able to work with remote stakeholders and team members, and be willing to travel to other sites as per business requirements
  • Ownership of monitoring the collateral allocation process across lenders and borrower legal entities
  • Identify, analyze, rectify and document all lender collateral exposures
  • Provide detailed written escalation to senior management and relevant groups of any issues encountered along with an action plan to mitigate risk and minimize client impact
Qualifications for senior control analyst
  • Ensure alignment of borrower rules, lender rules and restrictions to minimize client impact
  • Analyze changes in collateral policies and exceptions from a lender perspective to ensure rules and controls are appropriate before the changes are implemented
  • Manage and maintain the FX & MM Front Office to Back Office system reconciliation processes (FOBO), Regulatory clearing / reporting, the Global Balance Sheet Controls
  • Review and perform the system reconciliation function, ensuring that the back office system contains all the trades that are in the front office systems (FOBO)
  • Assure the integrity of the Balance sheet Control reconciliations
  • Support the Regulatory trade reporting as part of the mandatory Dodd-Frank act, Russia and EMIR, which is impacting the global Industry
3

Senior Control Analyst Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of senior control analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior control analyst
  • Gain a good understanding of the FX Trade Control procedures and B-Tools ( B-Check , B-controls )
  • Lead, contribute and support the FX Trade Control strategic regulatory changes and play a key role in the move from legacy architecture
  • Foster strong working relationship with internal counterparts
  • Demonstrate a strong understanding of FX Products such as FX Spots/Forwards, Non Deliverable forwards , FX Options and MM Products , such as Vanilla and Complex Loans/Deposits
  • Fostering excellent working relationship with internal counterparts
  • Interacting constantly with the front office traders to understand their trading strategies and marking methodologies
  • Producing and analysing valuation adjustments required to compensate for risk management system limitations
  • Drafting key results report for submission to various committees, senior management and Business Heads
  • Provides technical support for existing reports, dashboards, or other tools
  • Foster and promote Northern’ s commitment to a strong risk management culture
Qualifications for senior control analyst
  • Excellent understanding of front to back system architecture and E2E processes and controls
  • Good knowledge and understanding of FX Products such as FX Spots/Forwards, Non Deliverable forwards
  • Passionate about continuous improvements, leading by example and using their network of contacts to both improve their personal and team performance, identify areas for process improvement and ensure successful delivery of projects
  • Ability to network and build rapport and credibility quickly with a variety of key stakeholders (FO, Ops Senior Management, IT)
  • Excellent knowledge of MS Office applications, including and not limited to Outlook, Excel, Word, PowerPoint
  • Production of the daily P&L
4

Senior Control Analyst Job Description

Job Description Example
Our company is growing rapidly and is hiring for a senior control analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior control analyst
  • Interface closely with the EMEA Control team and EMEA Depositary to ensure consistency of approach and alignment in day-to-day activities
  • Participate in, and contribute to Service Level Review meetings between EMEA Depositary Operations in Limerick, the Country Depositaries, and Northern Operating Services in Bangalore
  • Support Finance Director and GM with ad hoc analysis including market share reporting and P&L analytics
  • Participate in various projects, task forces upon management request
  • Coordinate all kind of reports towards Head quarter local management
  • Complete and review accounting, postings, calculations and reporting of information in accordance with department guidelines
  • Analyze systems reports and exception reports for variances and provide guidance to analyst on complex issues
  • Assist in the resolution of all issues occurring within the funds and related processes
  • Communicate with internal or external business partners to resolve reconciliation, accounting and system issues
  • Assist supervisor in staff and workflow planning to ensure proper coverage of daily work for team
Qualifications for senior control analyst
  • Knowledge or background in treasury
  • Experience of product control
  • Part qualified/qualified CPA, CA or CFA is preferable
  • Knowledge of GitHub, Subversion, CA Harvest, Microsoft Team Foundation Server
  • Java\.Net Development Programming experience, Python preferred
  • Minimum 5+ years’ experience in customer assistance, underwriting, controls, risk, compliance, audit, and/or testing role
5

Senior Control Analyst Job Description

Job Description Example
Our company is searching for experienced candidates for the position of senior control analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for senior control analyst
  • Reviewing and analyzing bank reports for accuracy and suspicious activity
  • Preparation and oversee team activity in the bank fee accrual account analysis
  • Compliance with Sarbanes-Oxley Act, internal controls, policies, procedures surrounding cash management procedures
  • Fulfill ad hoc project requests for Supply Chain management
  • Serves as SME for analysts who have responsibility for FORCE, Change Control and Action Plan administration
  • Analyze and/or prepare complex reports and records related to daily mark-to-market profit and loss (P/L) variance of trading books and Value at Risk (VaR), providing management with explanations of major variances
  • Update and validate market price curves on a daily basis
  • Monitor trading and marketing activities to ensure adherence to corporate Risk Management and Compliance policy
  • Utilize the Risk System software to maintain all physical and financial positions and prepare mark to market position reports
  • Work with trading, accounting, contract administration and management to ensure accurate processing of all financial trading activities
Qualifications for senior control analyst
  • Working knowledge of CVA/DVA/FVA would be a plus
  • A minimum of 4 years’ experience in financial services operations
  • Experience in SAP ECC or R/3 knowledge (ECC, BI, SD, CO, FA, SRM and HR)
  • Advanced excel, other MS office programs user level
  • SAP GRC 10.0 in all modules, strong knowledge in SAP GRC Process and Access controls is a plus
  • 4 years experience in a cGMP laboratory environment

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