Client Reporting Oversight, Operational Risk Sr Analyst – Asst Vice President

Group Overview:

Client Reporting Oversight (CRO) function oversees client confirmations, prospectuses and statements are generated and delivered in an efficient, accurate, timely controlled manner while meeting regulatory and client requirements.

Key Responsibilities:

• Perform Managers Control Assessment (MCA) testing of Client Reporting Oversight (CRO)
• Perform targeted reviews of ISG, Middle Office related control processes
• Perform Control reconciliations related to confirmations, prospectuses and statements
• Assists in assessing current status of all regulation related controls and recommends controls enhancements as needed.
• Assists management in achieving and maintaining strategic objectives, promotes efficiency, reduces the risk of loss and helps ensure compliance with policies, procedures, laws and regulatory requirements.
• Maintains tracking metrics for management reporting and escalation
• Identify and document issues, oversee remediation efforts, recommend appropriate interventions and improvements where needed.
• Partnering with cross functional teams to develop process improvements, solutions, and streamline operational workflows
• Present suggestions for enhancements and identify areas for improving the current processes and procedures.
• Perform root cause analysis when required
• Promoting continuous improvement in all aspects of confirmation, prospectus and statement governance and oversight processes.  (e.g., Testing, Process reviews, Technology Enhancements) for continuous control monitoring
• Create and deliver presentations to senior levels of management and/or stakeholders
• Track the end-to-end life cycles of confirmations, prospectuses and statements.
• Support the group on a day-to-day basis to ensure all BAU activities are completed accurately and to the highest standard.
• Execution of meeting minutes, weekly updates, project summaries and documentation where required
• Perform quality assurance of testing evidence by selecting a sample of tests and reviewing that monitoring methodology was followed. Review and analyze controls effectiveness based on the inherent risks of each process.

Knowledge/Experience/Qualifications:

• Bachelor’s degree
• 3-5 years of experience in financial services, internal audit, internal controls, independent review, or similar related experience.
• Excellent analytical and problem solving skills
• Basic understanding of US Cash Securities process lifecycle; especially confirmation processes
• Documenting end to end processes flows (VISO)
• Proficient in metrics and reporting.
• Excellent communication and relationship skills across all management levels.
• Possesses strong organizational and interpersonal skills, makes sound decisions, exhibiting initiative, intuitive thinking and ability to work proactively without close supervision
• Ability to quickly grasp and master new concepts/requirements, related products and functional knowledge.
• Strong interpersonal skills for interfacing with all levels of management
• Must be able to prioritize and manage multiple activities and drive results with a high sense of urgency
• Strong organizational skills with the ability to multi-task.
• Self-motivated, effective under pressure and willing to take personal responsibility
• Willingness to question/challenge the status quo.

Skills:

• Strong MS office knowledge including Excel, Word, Viso, Access and Power Point is an advantage.
• Excellent  written and oral communication skills and ability to facilitate discussions
• Outstanding attention to detail

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Grade :All Job Level – All Job FunctionsAll Job Level – All Job Functions – US

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Time Type :Full time

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