**Responsibilities**:
- Participates from inception through implementation, in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
- Utilizes Issue Management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
- May support any area of the business (organizationally, regionally or product-wise) from an issue/project perspective; regular engagement with Senior Business Level Officers, Legal, Risk, and Compliance regarding complex matters.
- Initiates and develops relationships with others throughout the business unit and the company in order to identify and understand business needs
- Implement solutions to improve effectiveness and results
- Ensure a culture of accountability, integrity and respect
- Works issues/projects as assigned to support improvements
- Identify and analyze escalated problems and provide guidance for resolution
- Negotiate solutions and acts as a liaison with internal and external clients
- Monitor, research and evaluate technological advances in the industry to identify appropriate alternatives for enhancing current department operations
- Evaluate cost/benefits, make recommendations, develop and oversee implementation plans
- Provides judgment based on analysis of factual information in complicated and unique situations
- Directly impacts the area through shared responsibility for delivery of end results
- Implement and develop controls to prevent risk within specialized business
- Analyzes and identifies risk and performs analytical reporting
- Acts as a consultant to the businesses regarding processes & controls
- Drives corrective actions
- Provides support to business activity owners and Third Party Risk and Control functions
- Coordinates and assists with onsite reviews
- Completion of compliance documentation and on boarding activities relevant to compliance due diligence.
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.
**Qualifications**:
- 5-8 years of control and/or project experience
- High attention to detail and quality
- Demonstrated analytical and problem-solving skills.
- Effective planning and organizational skills
- Proficient in Microsoft Office with an emphasis on MS Excel
- Consistently demonstrates clear and concise written and verbal communication skills
- Proven ability to make sound business decisions
- Experience in creating and implementing processes that result in improved business performance
- Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view
- Required Licensing/Registration: Series 7, Series 9, Series 10, Series 24,
**Education**:
- Bachelor's/University degree or equivalent experience
**Compl Bus Control Sr Analyst - C12**
**Responsibilities**:
- Review and analyzing of policies, technology, tools, and governance processes to create lasting solutions for minimizing risks from failed internal processes and inadequate controls.
- Looks for ways to improve the current process and share best practices with senior leadership.
- Participates in senior leadership meetings to analyze documentation and processes to ensure risks and control points are properly addressed.
- Ability to learn in short time about new systems and processes.
- Assists senior level management in gathering data and information for executive level reporting and to take ownership of specified projects and tasks.
- Builds trusted internal and external customer relationships.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.
- Reviews the Credit Process and analyze it to find possible breaches and best practices.
- Manages and serves and provides support to the stakeholders in the Escalations process to identify root causes, find and implement actions to mitigate risks.
- Acts as an intermediary between the business and the second line of defense.
**Qualifications**:
- 3-5 years' experience in Internal Control and Compliance. Other risk and control Segment would be a plus - Internal Control.
- Knowledge of the Credit Process.
- Expertise in regulations and corporate policies for banking.
- Manager's Control Assessment (MCA) process knowledge.
- Consistently demonstrates clear and concise written and verbal communication skills
- Experience working collaboratively across various areas of the organization and presenting to senior management.
- Experience in Internal/External Audit would be desirable.
- Planning and organizational skills, proactive and self-motivated.
- High level of analytical skil
