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SCTO Risk & Quality Assurance Sr Control Specialist

Charlotte, North Carolina;

Job Description:

The ‘SCTO’ Securities Core Trading Operations Risk Governance team provide independent assessment / monitoring of risk and control issues across Securities & Equities Operations. The team is responsible for demonstrating, monitoring and managing the effectiveness and adequacy of the risk and control environment supporting Securities & Equities Operations within Global Markets Operations (GMO). The team's main objectives are to provide best in class risk process knowledge and lead holistic risk governance by ensuring full transparency and consistency across the risk management practices. It also drives the Risk Culture agenda across the organization to sustain effective risk management in line with the overall enterprise Risk Framework to support 'responsible growth'.

What will your main responsibilities involve?

  • Providing quality assurance and control over Securities Core Operations key controls and High Risk Processes

  • Perform an independent risk assessment of high risk processes in line with the RCSA. Set risk appetite and risk scoring. Present findings and opinions to senior management

  • Assist in the identification of Quality Assurance routines, testing or Metrics per HRP

  • Document and report QA test results. Understand root cause, make recommendations for improvements to operational processes and facilitate any changes

  • Present regular program updates to key individuals and input into Risk Governance packs.

  • Collate process control documentation from the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur

  • Review QA related target and KRI data, ensuring sufficient narrative is provided for any threshold breaches and provide summaries or raise issues (as required) for Governance reporting across Operations

  • Attend weekly control meetings to review and action QA observations/ issues

  • Working with Operations line management to strengthen the control environment and improve control culture and practices

  • Providing qualitative and quantitative analysis on common themes identified and events to Operations leadership team to drive risk-based decisions to strengthen control environment


Requirements:

  • Excellent communication skills (both written and verbal) to be able to drive and influence risk-based decisions

  • Excellent people/relationship management skills at all levels of seniority

  • Solid analytical skills, attention to detail and objective problem solver

  • Ability to work independently and be results driven whilst being a team player

  • Risk mindset

  • Positive and motivated to perform in an diverse environment where the type of work will regularly change

  • Track record of improving processes and demonstrating successful teamwork

  • Knowledgeable in Global Markets products or support functions

  • Good understanding of trade lifecycle front to back flows is desirable.

Other Qualifications:

•    Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
•    Excels in working among diverse viewpoints to determine the best path forward
•    Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
•    Commitment to challenging the status quo and promoting positive change.
•    Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
•    Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The ‘SCTO’ Securities Core Trading Operations Risk Governance team provide independent assessment / monitoring of risk and control issues across Securities & Equities Operations. The team is responsible for demonstrating, monitoring and managing the effectiveness and adequacy of the risk and control environment supporting Securities & Equities Operations within Global Markets Operations (GMO). The team's main objectives are to provide best in class risk process knowledge and lead holistic risk governance by ensuring full transparency and consistency across the risk management practices. It also drives the Risk Culture agenda across the organization to sustain effective risk management in line with the overall enterprise Risk Framework to support 'responsible growth'.

What will your main responsibilities involve?

  • Providing quality assurance and control over Securities Core Operations key controls and High Risk Processes

  • Perform an independent risk assessment of high risk processes in line with the RCSA. Set risk appetite and risk scoring. Present findings and opinions to senior management

  • Assist in the identification of Quality Assurance routines, testing or Metrics per HRP

  • Document and report QA test results. Understand root cause, make recommendations for improvements to operational processes and facilitate any changes

  • Present regular program updates to key individuals and input into Risk Governance packs.

  • Collate process control documentation from the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur

  • Review QA related target and KRI data, ensuring sufficient narrative is provided for any threshold breaches and provide summaries or raise issues (as required) for Governance reporting across Operations

  • Attend weekly control meetings to review and action QA observations/ issues

  • Working with Operations line management to strengthen the control environment and improve control culture and practices

  • Providing qualitative and quantitative analysis on common themes identified and events to Operations leadership team to drive risk-based decisions to strengthen control environment


Requirements:

  • Excellent communication skills (both written and verbal) to be able to drive and influence risk-based decisions

  • Excellent people/relationship management skills at all levels of seniority

  • Solid analytical skills, attention to detail and objective problem solver

  • Ability to work independently and be results driven whilst being a team player

  • Risk mindset

  • Positive and motivated to perform in an diverse environment where the type of work will regularly change

  • Track record of improving processes and demonstrating successful teamwork

  • Knowledgeable in Global Markets products or support functions

  • Good understanding of trade lifecycle front to back flows is desirable.

Other Qualifications:

•    Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
•    Excels in working among diverse viewpoints to determine the best path forward
•    Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
•    Commitment to challenging the status quo and promoting positive change.
•    Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
•    Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21076322

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Javier Flores

Referral Bonus:

0