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Sr. Business Control Specialist

New York, New York;

Job Description:

As part of implementing the Enterprise Customer Due Diligence Standard adopted to comply with regulations regarding financial crimes, Global Banking and Markets has developed regular Client Activity Monitoring (CAM) routines. These are assessments of client activity that are conducted by employees familiar with the clients.  There are two different routines.  One is specifically for High Risk clients, in which reports are sent to Primary Coverage Officers, Relationship Managers, Corporate Bankers, or Global Treasury Sales Officers quarterly for their review. The other is for all clients and takes place at refresh. 

Responsibilities:

High Risk CAM Process

  • Support Senior Analysts in the preparation and delivery of the quarterly Client Account Monitoring process for both Global Banking and Global Markets in which client activity is prepared and delivered to client teams for review.
  • Provide support to client facing teams in the completion of the Quarterly High Risk CAM 
  • Follow-up with client teams to ensure review and response is completed according to standard timelines.
  • Support preparation of senior leadership updates of Client Activity Monitoring completion
  • Develop proficiency in the CAM processes to be back-up for senior analysts
  • Support training and communication for Sales, Compliance, Operations, and Product partners.
  • Perform QA inspection of positive CAM responses to test for appropriateness

Refresh CAM Process

  • Support the development and distribution of expanded CAM reports for Standard, Elevated, and High Risk clients
  • Review output from GBAM Analytics of monthly CAM responses
  • Perform necessary hand-off to Consumer Bank partners
  • Perform QA inspection of Refresh CAM responses for failed results
  • Follow-up with Client facing teams to take corrective action on failed results
  • Prepare updates for Senior Leadership on status of Refresh CAM success rates
  • Provide support to client facing teams in the completion of the Refresh CAM process, as required.
  • Perform QA inspection of positive CAM responses to test for appropriateness.

Qualifications:

  • 2-5 years of experience in a financial services or other relevant risk management positions
  • Strong verbal and written communication skills
  • Proven experience in a role that is self-directed
  • Proven ability to manage timelines, and display sound judgment to escalate issues as needed
  • Strong Excel and PowerPoint Skills
  • Ability to communicate across multiple lines of business

Ability to perform independent research

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

As part of implementing the Enterprise Customer Due Diligence Standard adopted to comply with regulations regarding financial crimes, Global Banking and Markets has developed regular Client Activity Monitoring (CAM) routines. These are assessments of client activity that are conducted by employees familiar with the clients.  There are two different routines.  One is specifically for High Risk clients, in which reports are sent to Primary Coverage Officers, Relationship Managers, Corporate Bankers, or Global Treasury Sales Officers quarterly for their review. The other is for all clients and takes place at refresh. 

Responsibilities:

High Risk CAM Process

  • Support Senior Analysts in the preparation and delivery of the quarterly Client Account Monitoring process for both Global Banking and Global Markets in which client activity is prepared and delivered to client teams for review.
  • Provide support to client facing teams in the completion of the Quarterly High Risk CAM 
  • Follow-up with client teams to ensure review and response is completed according to standard timelines.
  • Support preparation of senior leadership updates of Client Activity Monitoring completion
  • Develop proficiency in the CAM processes to be back-up for senior analysts
  • Support training and communication for Sales, Compliance, Operations, and Product partners.
  • Perform QA inspection of positive CAM responses to test for appropriateness

Refresh CAM Process

  • Support the development and distribution of expanded CAM reports for Standard, Elevated, and High Risk clients
  • Review output from GBAM Analytics of monthly CAM responses
  • Perform necessary hand-off to Consumer Bank partners
  • Perform QA inspection of Refresh CAM responses for failed results
  • Follow-up with Client facing teams to take corrective action on failed results
  • Prepare updates for Senior Leadership on status of Refresh CAM success rates
  • Provide support to client facing teams in the completion of the Refresh CAM process, as required.
  • Perform QA inspection of positive CAM responses to test for appropriateness.

Qualifications:

  • 2-5 years of experience in a financial services or other relevant risk management positions
  • Strong verbal and written communication skills
  • Proven experience in a role that is self-directed
  • Proven ability to manage timelines, and display sound judgment to escalate issues as needed
  • Strong Excel and PowerPoint Skills
  • Ability to communicate across multiple lines of business

Ability to perform independent research

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21076429

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Gweneth Leuther Karas

Referral Bonus:

0