Sr Business Control Specialist
About The Position
This role performs Observation Management for issues impacting Global Regulatory Reporting (GRR), which is responsible for the accurate filing of non-liquidity-related financial regulatory reports. The specialist conducts root cause analysis and thematic reviews of findings, and partners with stakeholders across the organization—including Second Line, Data, and Capital—to design and deliver sustainable remediation solutions. The role drives effective issue resolution and supports sustainable remediation of observations affecting GRR. The position also supports the design and effectiveness of the risk and control environment, control monitoring and testing, quality assurance, inspection reviews, and governance activities. It contributes to continuous improvement of the observation management approach and related processes.
Requirements
- 3–5 years of experience in regulatory reporting in the financial industry.
- Prior consulting, internal audit, and/or issues validation experience.
- Controls mindset, with the ability to perform root cause analysis and design sustainable solutions.
- Strong written and verbal communication skills.
- Commitment to continuously improving processes to maximize effectiveness and efficiency.
- Proven ability to work collaboratively to achieve stated objectives.
- Skills in controls management, issue management, monitoring, surveillance and testing, quality assurance, risk management, analytical thinking, attention to detail, critical thinking, problem solving, written communications, decision making, prioritization, research, presentation, and regulatory compliance.
Responsibilities
- Oversee the design and effectiveness of the risk and control environment to support Client Operational Services and adherence to enterprise-wide standards.
- Support control monitoring and testing by evaluating data to identify issues and control improvements for remediation.
- Implement optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts.
- Conduct and coordinate quality inspection reviews to enhance employee performance and control effectiveness.
- Perform QA activities, including executing controls, managing cases, and reporting results.
- Identify opportunities for testing automation, procedural updates, thematic trend analysis, test script updates, and coaching to enhance the QA program.
- Support management and research for regulatory exams, internal audits, and other monitoring and inspection reviews.
- Evaluate data and information relevant to inspection metrics to support governance activities and dashboard reporting.
- Support the Observation Management Lead in identifying observations and working with stakeholders to review and validate them.
- Conduct observation management, including root cause analysis and thematic review of findings, and partner with key stakeholders to design and deliver sustainable solutions.
- Apply lessons learned to recommend ways to improve the effectiveness and efficiency of the observation management approach.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
