Control - M3 Through subordinate managers, responsible for identifying, analyzing, monitoring and minimizing business risks, and ensures proper control policies and procedures are in place
Manages multiple teams that are responsible for control testing and reporting on control standards. Develops training on policies and procedures concerning controls and risk management
Monitors results on key risks, errors / near misses, reconciliations and root cause analyses as reported by subordinate managers.
Analyzes and determines appropriate level management intervention
Leads and contributes to policies for developing, documenting and analyzing existing control procedures. Analyzes documentation for evidence of successful and efficient performance
Ensures team objectives are aligned to functional objectives. Manages complex projects that involve working with businesses to improve controls to mitigate any deficiencies
Ensures controls meet regulatory and organization standards. Projects are usually broader and focused on long-term operational issues
Contributes to strategic projects / initiatives for the function. Uses in-depth knowledge of market trends to determine potential risks to the organization.
Manages analysis and draws conclusions in order to recommend and direct any resulting change needed to mitigate risk
Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team
Manages a large or specialized team of Control professionals or multiple teams. Work is primarily accomplished through subordinate managers.
May have matrixed management responsibility and oversee geographically dispersed teams, adding to the complexity of duties
Responsible for the achievement of goals and objectives comprising of multiple teams, talent management and supervision of Control professionals and other managers
Bachelor’s degree or equivalent combination of education and work experience required
Advanced degree preferred 7-10 years of total work experience with 1-3 years of management experience preferred
Experience in the securities or financial services industry preferred.