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Sr. Business Control Specialist - Consumer Investments

Pennington, New Jersey;

Job Description:

The Senior Business Control Specialist will assist in the execution of line of business control measurement, analysis, issue identification and mitigation, and operational excellence. Execute Line of Business (LOB)-specific processes and tools to drive adherence to LOB and enterprise-wide compliance and control standards. Support the implementation of QA/QC processes within the LOB through ongoing monitoring and testing of controls and identification of gaps or other high-risk processes. Identify issues and/or control improvements for remediation, while assisting in building out action plans and mitigations.

Provide risk/business controls and coaching support in executing regulatory discipline and operational excellence within Merrill Edge.


•Develop partnerships with LOB leaders to help develop/communicate key controls updates, and any mitigation/action plans.

•Develop and deliver presentation for the tracking, monitoring, and escalation of risk related issues for all levels of the organization.  Act as an ambassador of the BAC risk culture/framework.

•Understand how compliance and key regulations influence how the line of business operates

•Work with key business and control partners across the enterprise as required to build action plans includes Strategy and Planning, LRC, Supervision and business partners as required to build action plans and manage risk/business controls and drive resolution for Merrill Edge.

•Assist with Business Control reporting (audit/controls) as needed.


Required Skills:

• Intermediate/Advanced MS Access skills         

• Experience working with compliance and/or regulatory matters

• Strong skills coordinating projects/programs and working on cross-functional teams.

• 3+ years of risk management and/or Line of Business, Compliance, Control, and/or business support experience

• Very strong communications skills, both written and verbal; ability to communicate with individuals at all level of the organization

• Effective interpersonal skills and ability to solicit input from others

• Ability to create business reporting and compelling written presentations that articulate business strategy and objectives. 

• Proficiency using SharePoint Designer, PowerPoint, Excel and reporting system skills

• Detail oriented, self-starter, and ability to work independently

• Excellent organizational and analytical skills

• Effective time-management skills

• Ability to multi task, work with short deadlines and perform well under pressure


Desired Skills:

•Advanced SharePoint, PowerPoint and Excel skills

•Process or Six Sigma background

•Experience with Visio

•Prior experience working in Financial Services industry with experience leading


Enterprise Job Description

Provide analytical support in executing internal control discipline and operational excellence within a LOB/ECF. Gather and organize data in order to monitor and test the effectiveness of key controls and status of mitigation and action plans. Prepare documentation for the tracking, monitoring, and escalation of risk related issues to management. Acts as an ambassador of the risk culture. Incumbents typically have over 5+ years of risk management and/or LOB/ECF experience. May manage staff.


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No


Talent Acquisition Contact:

Referral Bonus: