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Business Governance Specialist – Risk Governance

Jacksonville, Florida;

Job Description:

Enterprise Overview:

Responsible for identification and management of business governance issues associated with the delivery of retirement products and services.

LOB Description:

Wealth Management Operations Risk Governance and Processing Control Services Department serves as a central issues management and control oversight unit. The unit performs various control functions including general ledger account establishment, exposure monitoring, risk and audit issue management, and various oversight functions including but not limited to broker dealer separation, vendor management, global records management, registration and licensing, and identity access management. The Risk Governance team is responsible for internal audit and self-identified audit issue management; coordination of external audits, regulatory inquiries and exams; coordination of Compliance, Risk and Corporate Audit exams and assessments.

The incumbent is responsible for leading initiatives related to risk within the Wealth Management Operations organization and driving horizontal risk initiatives that intersect with the Consumer, Small Business & Wealth Management Operations organization or other Enterprise areas.  This includes collaboration with team members to identify and address risk; coordination of regulatory examinations and inquiries, annual PricewaterhouseCoopers SOC 1 audits and risk assessments and audit issue management across the Wealth Management Operations organization.  The Wealth Management Operations Risk Governance role will also oversee the organization’s Single Process Inventory (SPI) and drive a culture of proactive risk management. 

Job Responsibilities:

  • Thoughtfully collaborates with Wealth Management Operations management team and operational team members to identify and address risk
  • Manage the audit / exam process in coordination with control partners, audit and the impacted functional areas
  • Responsible for ensuring accurate documentation and maintenance of the Single Process Inventory (SPI) for groups within Wealth Management Operations
  • Manage issues and observations portfolio related to direct and indirect Just-do-it initiatives, Self, Audit, and Risk identified issues

Required Skills:

  • 3-5 years’ experience supporting Private Bank or Merrill broker/dealer functions
  • Demonstrated ability to manage multiple initiatives concurrently with successful outcomes
  • Strong relationship management skills to build and maintain credibility and influence with support partners, leadership and stakeholders
  • Self-starter able to work independently and prioritize effectively, with minimal oversight and guidance
  • Detail oriented with ability to interpret data and compile it into value-added information for leaders
  • Ability to navigate in a highly complex organization and operate effectively in change environments
  • Superior presentation and communication skills at the executive level (written and verbal)
  • Proficient in MS Excel, Word and PowerPoint

Desired Skills:

  • Bachelor’s degree or equivalent work experience
  • Strong knowledge of business controls and risk framework

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Enterprise Overview:

Responsible for identification and management of business governance issues associated with the delivery of retirement products and services.

LOB Description:

Wealth Management Operations Risk Governance and Processing Control Services Department serves as a central issues management and control oversight unit. The unit performs various control functions including general ledger account establishment, exposure monitoring, risk and audit issue management, and various oversight functions including but not limited to broker dealer separation, vendor management, global records management, registration and licensing, and identity access management. The Risk Governance team is responsible for internal audit and self-identified audit issue management; coordination of external audits, regulatory inquiries and exams; coordination of Compliance, Risk and Corporate Audit exams and assessments.

The incumbent is responsible for leading initiatives related to risk within the Wealth Management Operations organization and driving horizontal risk initiatives that intersect with the Consumer, Small Business & Wealth Management Operations organization or other Enterprise areas.  This includes collaboration with team members to identify and address risk; coordination of regulatory examinations and inquiries, annual PricewaterhouseCoopers SOC 1 audits and risk assessments and audit issue management across the Wealth Management Operations organization.  The Wealth Management Operations Risk Governance role will also oversee the organization’s Single Process Inventory (SPI) and drive a culture of proactive risk management. 

Job Responsibilities:

  • Thoughtfully collaborates with Wealth Management Operations management team and operational team members to identify and address risk
  • Manage the audit / exam process in coordination with control partners, audit and the impacted functional areas
  • Responsible for ensuring accurate documentation and maintenance of the Single Process Inventory (SPI) for groups within Wealth Management Operations
  • Manage issues and observations portfolio related to direct and indirect Just-do-it initiatives, Self, Audit, and Risk identified issues

Required Skills:

  • 3-5 years’ experience supporting Private Bank or Merrill broker/dealer functions
  • Demonstrated ability to manage multiple initiatives concurrently with successful outcomes
  • Strong relationship management skills to build and maintain credibility and influence with support partners, leadership and stakeholders
  • Self-starter able to work independently and prioritize effectively, with minimal oversight and guidance
  • Detail oriented with ability to interpret data and compile it into value-added information for leaders
  • Ability to navigate in a highly complex organization and operate effectively in change environments
  • Superior presentation and communication skills at the executive level (written and verbal)
  • Proficient in MS Excel, Word and PowerPoint

Desired Skills:

  • Bachelor’s degree or equivalent work experience
  • Strong knowledge of business controls and risk framework

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21054529

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Christina Rivera-Saucedo

Referral Bonus:

0