Professional - Regulatory Reporting Analyst 2

Morrisville, NC

Post Date: 06/22/2017 Job ID: 9876369 Industry: FIN Consulting
Group overview
The Front Office Onboarding Group exists to move clients from 'prospect' to 'customer' in the shortest possible time. Onboarding also support sales personnel by providing immediate advice on any account opening and documentation issues that often present themselves. The team is tasked with resolving complex issues which prevents or slows business. Onboarding ensures high standards of Ethics and Control are maintained during account opening processes, assist in ad-hoc / ongoing regulatory projects and improve quality of client static data on CS internal databases.

This role is a Program Manager for the GM Controls Program. Managers are expected to take full responsibility for defining controls for the GM Client Services program. They will work on multiple programs within the GMCS teams.

" Provide controls for the Global Markets Client Services Controls program
" Work with GMCS teams to define and maintain the controls framework
" Provide pre-audit health check and tyre kick for teams within GMCS
" Host working group sessions with GMCS teams to create process and control maps
" Evaluate the design and performance of existing controls, identify control gaps and measure effectiveness of controls in managing operational risk
" Establish solid relationships with various functions and businesses throughout GM
" Provide updates to senior management on status of tyre kicks and controls
" Proactively monitor and ensure all existing controls are addressed within appropriate timeframes
" Ensure Client Services team utilizes standardized control tracking systems
" Provide training and awareness on relevant CS policies and standardized control tracking systems

" Bachelor's Degree and strong academics
" 5+ years of relevant experience
" Minimum of 2+ years in Risk organization (Audit, Compliance, SOX, Operational Risk)
" Significant controls experience
" Excellent verbal and written communication, presentation, and organizational skills
" Self starter, self-guiding, and can demonstrate independent thinking
" Strong communication and interpersonal skills; comfortable dealing directly with senior internal clients
" Excellent attention to detail
" Extremely strong organizational skills
" Excellent relationship and interpersonal skills
" Excellent Microsoft Project and Visio skills
" Strong Excel, PowerPoint and SharePoint skills
" Regulatory experience

" Experience working with Banking/Financial area and/or general knowledge of Investment Banking Operations processes
" Knowledge of Client processes front to back
" Knowledgeable of operations

Paige Bartram

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