Business Controls Manager - GCAOO QC/QA Governance

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Line of Business

Global Credit, Anti-Money Laundering (AML) and Onboarding Operations (GCAOO) delivers credit fulfillment, service and operations of credit offerings, operational accountability for leasing and trade finance solutions; AML monitoring and refresh of client information; Onboarding for global market clients. The GCAOO Quality Control/Quality Assurance (QC/QA) team provides operational support by monitoring the completion of critical customer due diligence requirements as directed by the Bank Secrecy Act (BSA) and/or the Financial Crimes Global Standard with coverage extending to horizontal lines of business.

The GCAOO QC/QA team is seeking to strengthen its risk management and infrastructure by focusing on key AML customer due diligence processes that have high risk and significant visibility. The incumbent for this position will be part of the newly created AML QC/QA team that is responsible for implementing the QC/QA strategy across multiple lines of business by deploying enhanced control monitoring and reporting to drive process improvements and oversight.

• Assist in the execution of internal control discipline and operational excellence within a LOB or ECF.
• Execute LOB/ECF specific processes and tools to drive adherence to enterprise-wide Standards.
• Support the implementation of QA/QC processes within the LOB/ECF through ongoing monitoring and testing of controls.
• Identify issues and/or control improvements for remediation, whilst assisting in building out actions plans and milestones.
• Acts as an ambassador of the risk culture.
• Develop and direct staff.
• Incumbents typically have over 8+ years of risk management and LOB/ECF experience.

The QC/QA Governance Manager will lead a governance team responsible for executing routines that measure the adherence to the GCAOO QC/QA program requirements. The governance team's responsibilities include the analysis of quality results to pinpoint trends, themes, or areas requiring attention.

• Works with senior management and other team members to produce performance results and analysis packages for senior management using data mining tools and metrics.
• Provides governance for QC/QA program requirements including sampling adherence, root cause analysis for underperforming processes, corrective action plans, and reporting.
• Maintains a culture of compliance and supports the identification, escalation and timely mitigation of compliance risks.
• Applies knowledge and expertise to influence business managers and peers to ensure enforcement of the QC/QA program.
• Notifies key stakeholders of trends and concerns in order to ensure timely response to quality issues. Interfaces with auditors, business and support leaders.
• Must have outstanding verbal and written communication skills; ability to simplify and summarize complex topics. Executive presence.

Responsibilities:

• Leads the assessment of the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
• Performs monitoring and testing of controls, identifying issues and control improvements for remediation
• Leads the implementation of optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
• Manages the performance and productivity of team members that conduct quality inspection reviews
• Ensures timely execution of QA activities including control execution, case management, and results reporting
• Manages and reviews all operations front line unit responses for regulatory exams, internal audits, and other monitoring and inspection reviews
• Ensures accuracy of data and that relevant information is captured for inspection metrics to support governance for dashboard reporting

Requirements:

• 3-5 years experience with Anti Money Laundering experience
• 3+ years with people management experience
• Project management experience and reporting

Preferred:

• Direct experience in a Business Controls function

Skills:

• Controls Management
• Oral Communications
• Risk Management
• Stakeholder Management
• Strategy Planning and Development
• Continuous Improvement
• Drives Engagement
• Influence
• Strategic Thinking
• Talent Development
• Data and Trend Analysis
• Decision Making
• Monitoring, Surveillance, and Testing
• Problem Solving
• Quality Assurance

Shift:

Hours Per Week: