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Senior Business Control Specialist - RPSWT COO Audit & Exam

Charlotte, North Carolina;

Job Description:

About this team

The Retail, Preferred, Small Business & Wealth Tech RPSWT organization provides technology support and solutions to our clients across the Consumer, Preferred, Small Business, Merrill Lynch and Private Bank business segments.  The Chief Operating Office Risk team is looking for top talent no to help bring them into the future.  The team is enabling a self-service capability platform which will transform the way their associates will focus their responsibilities.  Identified candidates will be able to act as subject matter experts in key technology areas and recommend strategies that will help continue to reduce risk across the portfolio. 

Position Summary

Individual contributor on the Audit and Exam Management team within RPSWT COO Risk organization is responsible for managing internal audits 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 Skills/ Experience

• 3+ years of experience with audit, exam management, and/or compliance in Technology
• Ability to influence organizational leaders, business partners, and key executives and drive decisions across multiple lines of business
• Excellent project management and interpersonal skills; strong attention to detail, accuracy and understanding prioritization within an environment where majority of issues are a priority
• Strong presentation skills with ability to lead telephone meetings, develop and convey a point of view
• Exceptional analytical and critical thinking abilities
• Knowledge of risk management/risk framework; ability to identify, escalate, and debate risk
• Highly motivated self-starter with ability to multitask and manage multiple priorities and meet aggressive deadlines.

Desired Skills/ Experience

• Intermediate SharePoint skills
• Intermediate Excel skills (vlookups and pivot tables)
• Business Controls experience
• Foundational knowledge of RISE
• Knowledge of Technology policies and standards
• Intermediate PowerPoint skills.

Who We Are:

The RPSWT Risk Organization:
• 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.

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

About this team

The Retail, Preferred, Small Business & Wealth Tech RPSWT organization provides technology support and solutions to our clients across the Consumer, Preferred, Small Business, Merrill Lynch and Private Bank business segments.  The Chief Operating Office Risk team is looking for top talent no to help bring them into the future.  The team is enabling a self-service capability platform which will transform the way their associates will focus their responsibilities.  Identified candidates will be able to act as subject matter experts in key technology areas and recommend strategies that will help continue to reduce risk across the portfolio. 

Position Summary

Individual contributor on the Audit and Exam Management team within RPSWT COO Risk organization is responsible for managing internal audits 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 Skills/ Experience

• 3+ years of experience with audit, exam management, and/or compliance in Technology
• Ability to influence organizational leaders, business partners, and key executives and drive decisions across multiple lines of business
• Excellent project management and interpersonal skills; strong attention to detail, accuracy and understanding prioritization within an environment where majority of issues are a priority
• Strong presentation skills with ability to lead telephone meetings, develop and convey a point of view
• Exceptional analytical and critical thinking abilities
• Knowledge of risk management/risk framework; ability to identify, escalate, and debate risk
• Highly motivated self-starter with ability to multitask and manage multiple priorities and meet aggressive deadlines.

Desired Skills/ Experience

• Intermediate SharePoint skills
• Intermediate Excel skills (vlookups and pivot tables)
• Business Controls experience
• Foundational knowledge of RISE
• Knowledge of Technology policies and standards
• Intermediate PowerPoint skills.

Who We Are:

The RPSWT Risk Organization:
• 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.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21054410

Band: H5

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Hoy Greene

Referral Bonus:

0