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The Control Management (CM) role is within the Corporate& Investment Bank’s (CIB) Control Management organization covering the Wholesale Payments Global Liquidity and Account Services business. The global head of the Liquidity and Account Services business and the Control Manager is responsible for oversight of the end to end control environment of the Product, in partnership with regional Product and Control Managers.
Responsibilities will include end to end management of the control agenda, including managing a global control forum, Risk Control Self-Assessment (RCSA) control evaluation/design, risk events and issues management, thematic reviews/control deep dives, audit preparations/support, regulatory and policy impacts to the business.
Manage all control-related activities, including control governance/reporting, risk and control self-assessments (RCSA), risk event occurrences, and risks/controls identified via the new business initiatives process; provide control related guidance/due diligence requirements to the Global Liquidity business to foster a proactive risk and control culture that leverages proven risk evaluation strategies to implement end to end controls to mitigate key risks
Partner effectively with colleagues across the firm, including Product, Operations, Legal, Compliance, Risk, Audit, Sales, Client Service, Implementations and Technology functions to drive consistent and rigorous control environment
Lead by example, with exemplary personal and professional attributes. Inspire confidence in all levels of key partners from the business and other functional areas and across the Lines of Business
Ideal candidate should have:
Business knowledge –knowledge of Liquidity and Account Services suite of products (i.e. Notional Pooling, Sweeps/Cross-border sweeps, Earning Credits, Depository, Overdrafts, Investments (Money Market Funds) etc..), the underlying risks associated with these products and key controls required to mitigate these risk.
Regulatory- knowledge of key regulations that impact Liquidity and Account Services Products including (but not limited to) Reg D, Reg W, ERISA, as well as controls required to mitigate regulatory risks.
Problem solving / Analytical skills - solid critical thinking, attention to detail and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions
◦ Understanding root cause / identifying control breaks
◦ Developing timely and sustainable solutions
◦ Implement/Analyze metrics for key risks
Communication/presentation - excellent written and verbal communication skills with an ability to influence business leaders and partners in a meaningful and actionable manner
Networking – exceptional interpersonal skills; exceptional collaboration and relationship building skills
Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
Process analysis / design acumen –ability to understand a process and associated risk in order to make recommendations on control design
Bachelor’s degree or equivalent experience required
Minimum 5-10 years of financial services experience in Controls, Product Management, Audit, Risk management, Compliance or related background preferred
Knowledge or Background in Liquidity suite of Products is preferred
Experience working with broad cross-functional teams to analyze, design, and deliver best practices
Demonstrate confident leadership and sound judgment to influence a strong culture and risk and controls management
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) with the ability to develop compelling and meaningful executive presentations that will drive opportunities / recommendation for improvement
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