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EAC Compliance & Operational Risk Specialist - Process Owner Delegate

Charlotte, North Carolina;

Job Description:

The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Specialist is an individual contributor member of an EAC C&OR team that is responsible for enterprise-wide oversight of processes, controls, laws, rules, and/or regulations that have enterprise-wide applicability, affecting two or more Front Line Units or Control Functions (“FLU/CF”) (examples include Third Party, Privacy, Reg W). Responsibilities include identifying, escalating and mitigating risks in a timely manner in alignment with the C&OR Management (“CORM”) Program, with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”), and delivering on the other requirements in the Policies.
The EAC C&OR Specialist assists in engaging other C&OR officers, including horizontal coverage owners and EAC, to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The EAC C&OR Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs for their area of coverage include, but are not limited to:

• Assists in the development of independent risk management reporting as input into governance and management routines
• Assists with the oversight of FLU/CF training, which may include content development and/or tracking and communication of completion rates
• Assists with the development and maintenance of C&OR-owned policies and standards to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable
• Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory; may support communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements
• Assists in identifying, aggregating, reporting, escalating, inspecting and challenging remediation plans, and performing thematic analysis on FLU/CF-owned issues and control enhancements
• Assists in remediating C&OR “owned” issues and control enhancements
• Executes C&OR Monitoring, Testing, and Assessments; communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities to provide a forward-looking estimate of hypothetical operational losses
• Assists with the development of risk metrics, monitors related performance and breach remediation

This role will facilitate the Process Delegate responsibilities for the Global Change Common Process and Enterprise Change Compliance and Operational Risk (EC COR) internal processes.  This includes:

-Oversight of current Change Management Process

-Control and Metric Management and process management activities

-Coordination with EC COR reporting team and review KRI management results

-Coordination with Change Executives and FLU/CF business control teams for non-performance commentary in the Process Manger Portal and ORCIT

-Escalation of missing or inaccurate reporting with-in governance and as input into Change Risk Manager Monitoring.
 

Required and desired skills and qualifications:

-Bachelor's degree (preferred)
-Working knowledge of Process Owner Accountability and experiences as follows:
-Process, Risk and Control, experience in Centralized Process Ownership (legacy Business Enablement) a plus
-Process Owner Portal (POP) and ORCIT

-Facilitation – Demonstrates the knowledge, skills, motivations, and behaviors required to be a successful meeting facilitator, such as: Delivers materials effectively while maintaining audience attention; Uses a variety of methods to effectively facilitate discussions and transfer information to key audiences

-Communication – Demonstrates ability to develop and deliver concise, professional to various levels of the organization from senior leaders to front line change practitioners

-Analytical skills – Able to analyze data and trends at a deeper level, report and escalate when needed, recognize trends in performance and identify systemic skill gaps to curate solutions.

-Change adoption – Seeks best practices and insights, reaches beyond own experience, engages top performers and global resources for input on best practices.

-Prioritization – Identifies key drivers and opportunities; identifies levers that influence trends; then prioritizes focus for greatest and most critical impact.

-Ownership – Demonstrates personal accountability to drive new initiatives that accelerate adoption, drive skills development and take performance to the next level.

-Experience – 5 or more years of relevant experience with change management preferred.

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Specialist is an individual contributor member of an EAC C&OR team that is responsible for enterprise-wide oversight of processes, controls, laws, rules, and/or regulations that have enterprise-wide applicability, affecting two or more Front Line Units or Control Functions (“FLU/CF”) (examples include Third Party, Privacy, Reg W). Responsibilities include identifying, escalating and mitigating risks in a timely manner in alignment with the C&OR Management (“CORM”) Program, with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”), and delivering on the other requirements in the Policies.
The EAC C&OR Specialist assists in engaging other C&OR officers, including horizontal coverage owners and EAC, to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The EAC C&OR Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs for their area of coverage include, but are not limited to:

• Assists in the development of independent risk management reporting as input into governance and management routines
• Assists with the oversight of FLU/CF training, which may include content development and/or tracking and communication of completion rates
• Assists with the development and maintenance of C&OR-owned policies and standards to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable
• Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory; may support communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements
• Assists in identifying, aggregating, reporting, escalating, inspecting and challenging remediation plans, and performing thematic analysis on FLU/CF-owned issues and control enhancements
• Assists in remediating C&OR “owned” issues and control enhancements
• Executes C&OR Monitoring, Testing, and Assessments; communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities to provide a forward-looking estimate of hypothetical operational losses
• Assists with the development of risk metrics, monitors related performance and breach remediation

This role will facilitate the Process Delegate responsibilities for the Global Change Common Process and Enterprise Change Compliance and Operational Risk (EC COR) internal processes.  This includes:

-Oversight of current Change Management Process

-Control and Metric Management and process management activities

-Coordination with EC COR reporting team and review KRI management results

-Coordination with Change Executives and FLU/CF business control teams for non-performance commentary in the Process Manger Portal and ORCIT

-Escalation of missing or inaccurate reporting with-in governance and as input into Change Risk Manager Monitoring.
 

Required and desired skills and qualifications:

-Bachelor's degree (preferred)
-Working knowledge of Process Owner Accountability and experiences as follows:
-Process, Risk and Control, experience in Centralized Process Ownership (legacy Business Enablement) a plus
-Process Owner Portal (POP) and ORCIT

-Facilitation – Demonstrates the knowledge, skills, motivations, and behaviors required to be a successful meeting facilitator, such as: Delivers materials effectively while maintaining audience attention; Uses a variety of methods to effectively facilitate discussions and transfer information to key audiences

-Communication – Demonstrates ability to develop and deliver concise, professional to various levels of the organization from senior leaders to front line change practitioners

-Analytical skills – Able to analyze data and trends at a deeper level, report and escalate when needed, recognize trends in performance and identify systemic skill gaps to curate solutions.

-Change adoption – Seeks best practices and insights, reaches beyond own experience, engages top performers and global resources for input on best practices.

-Prioritization – Identifies key drivers and opportunities; identifies levers that influence trends; then prioritizes focus for greatest and most critical impact.

-Ownership – Demonstrates personal accountability to drive new initiatives that accelerate adoption, drive skills development and take performance to the next level.

-Experience – 5 or more years of relevant experience with change management preferred.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21068224

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

James Henry

Referral Bonus:

0