girl looking into her desktop
Back to search results

Sr. Business Control Specialist – GBAMT /ERFT Technology Controls 

Charlotte, North Carolina;

Job Description:

Global Banking and Markets Technology:

  • Believes diversity makes us stronger so we can reflect, connect and meet the diverse needs of our clients and employees around the world

  • Is committed to building a workplace where every employee is welcomed and given the support and resources to perform their jobs successfully

  • Wants to be a great place for people to work and strives to create an environment where all employees have the opportunity to achieve their goals.

  • Provides continuous training and development opportunities to help employees achieve their career goals, whatever their background or experience.

  • Is committed to advancing our tools, technology, and ways of working to better serve our clients and their evolving business needs.

  • Believes in responsible growth and is dedicated to supporting our communities by connecting them to the lending, investing and giving them what they need to remain vibrant and vital.


This position is responsible for risk reviews including Internal audit, external regulatory reviews, compliance and operational risks reviews to ensure preparation and readiness of audit coordination and the provisioning of independent assurance.

Individual contributor on the Exam Adherence team for the GBAMT and ERFT organization and is responsible for managing internal audits, Technology Compliance and Operational Risk (TCOR) assessments and regulatory exams. Key responsibilities include: notifying impacted parties of an exam or audit; identifying key stakeholders; managing in-flight exams through the coordination of requested documentation, follow-up requests and initial/potential findings, inclusive of necessary approvals and content reviews; and maintaining an inventory of current, forecasted and completed audits / exams. Provide analytical and administrative support in executing internal control discipline and operational excellence within a FLU/CF.


REQUIRED MINIMUM QUALIFICATIONS:

  • 5-8+ years of technology,  technology internal control, audit, risk or compliance experience for a large and complex organization

  • Strong understanding of the components and application of technology control frameworks including the requirements under SOX and COSO.

  • Active participation during the assessment of technology internal controls - from planning, scoping, testing/fieldwork, debate of potential issues, and issuance of final reports

  • Strong relationship management skills to navigate the complexities of aligning stakeholders, building consensus and resolving conflicts in a large, distributed organization; proven ability to influence peers/stakeholders and senior leaders across various lines of business.

  • Proven ability to manage multiple and often competing priorities in a global environment; Ability to drive strategic initiatives with a track record of successful change and making difficult decisions.

  • Proven ability to foster the Identify, Escalate, Debate Risk Culture

  • Proven ability to execute with accuracy, precision, and attention to detail

  • Ability to decompose complex issues and drive timely decisions, knowing when to engage others for additional input, and when to act independently; Proven ability to manage and develop team members.

  • Proactive approach - ability to connect the dots, look across, and a love of problem-solving

  • Strong communication skills (presentation and influencer); ability to synthesize information in order to drive results; Ability to communicate complex ideas in a clear and concise manner, shaping the opinions and actions of key stakeholders and gaining their trust.

  • Participation in cross-functional teams and ability to work effectively in a geographically dispersed team

  • Competency with Microsoft Office:  Outlook, Word, PowerPoint, Excel


PREFERRED QUALIFICATIONS:

  • Markets technology, Corp Investment technology, Infrastructure technology, financial services technology, technology consulting background strongly preferred

  • CISA, CGEIT, CISM , CRISC, CISP, or other related certification

  • College degree (BS or equivalent) in applicable field of study strongly preferred

  • Previous experience in Audit (Third Line) or Compliance / Operational Risk (Second Line) strongly preferred

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Global Banking and Markets Technology:

  • Believes diversity makes us stronger so we can reflect, connect and meet the diverse needs of our clients and employees around the world

  • Is committed to building a workplace where every employee is welcomed and given the support and resources to perform their jobs successfully

  • Wants to be a great place for people to work and strives to create an environment where all employees have the opportunity to achieve their goals.

  • Provides continuous training and development opportunities to help employees achieve their career goals, whatever their background or experience.

  • Is committed to advancing our tools, technology, and ways of working to better serve our clients and their evolving business needs.

  • Believes in responsible growth and is dedicated to supporting our communities by connecting them to the lending, investing and giving them what they need to remain vibrant and vital.


This position is responsible for risk reviews including Internal audit, external regulatory reviews, compliance and operational risks reviews to ensure preparation and readiness of audit coordination and the provisioning of independent assurance.

Individual contributor on the Exam Adherence team for the GBAMT and ERFT organization and is responsible for managing internal audits, Technology Compliance and Operational Risk (TCOR) assessments and regulatory exams. Key responsibilities include: notifying impacted parties of an exam or audit; identifying key stakeholders; managing in-flight exams through the coordination of requested documentation, follow-up requests and initial/potential findings, inclusive of necessary approvals and content reviews; and maintaining an inventory of current, forecasted and completed audits / exams. Provide analytical and administrative support in executing internal control discipline and operational excellence within a FLU/CF.


REQUIRED MINIMUM QUALIFICATIONS:

  • 5-8+ years of technology,  technology internal control, audit, risk or compliance experience for a large and complex organization

  • Strong understanding of the components and application of technology control frameworks including the requirements under SOX and COSO.

  • Active participation during the assessment of technology internal controls - from planning, scoping, testing/fieldwork, debate of potential issues, and issuance of final reports

  • Strong relationship management skills to navigate the complexities of aligning stakeholders, building consensus and resolving conflicts in a large, distributed organization; proven ability to influence peers/stakeholders and senior leaders across various lines of business.

  • Proven ability to manage multiple and often competing priorities in a global environment; Ability to drive strategic initiatives with a track record of successful change and making difficult decisions.

  • Proven ability to foster the Identify, Escalate, Debate Risk Culture

  • Proven ability to execute with accuracy, precision, and attention to detail

  • Ability to decompose complex issues and drive timely decisions, knowing when to engage others for additional input, and when to act independently; Proven ability to manage and develop team members.

  • Proactive approach - ability to connect the dots, look across, and a love of problem-solving

  • Strong communication skills (presentation and influencer); ability to synthesize information in order to drive results; Ability to communicate complex ideas in a clear and concise manner, shaping the opinions and actions of key stakeholders and gaining their trust.

  • Participation in cross-functional teams and ability to work effectively in a geographically dispersed team

  • Competency with Microsoft Office:  Outlook, Word, PowerPoint, Excel


PREFERRED QUALIFICATIONS:

  • Markets technology, Corp Investment technology, Infrastructure technology, financial services technology, technology consulting background strongly preferred

  • CISA, CGEIT, CISM , CRISC, CISP, or other related certification

  • College degree (BS or equivalent) in applicable field of study strongly preferred

  • Previous experience in Audit (Third Line) or Compliance / Operational Risk (Second Line) strongly preferred

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21040778

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Kimberly Rohn

Referral Bonus:

0