Control Management Associate - Corporate Responsibility

A global financial services company is seeking a Control Management Associate for their office in Columbus, OH.

Duration: 1-year

Location: Columbus, OH

Corporate Responsibility (CR) Control Management is seeking to hire a Control Management Associate, reporting to the CR Control Management Lead. This role requires strong analytical skills, thoughtful initiative and advisory, and strong communication skills; and will work in partnership with other CR businesses, along with key functional partners across Control Management, Compliance, Legal, and Audit.

Team/Role Responsibilities

·     Control Management Support:  General controls review and maintenance for Corporate Responsibility control framework.  Specific tasks may include:

o  Assist with the CR CORE risk & control framework, as well as various control processes in place to review, inspect and report on control matters.

o  Conduct process control validations and reviews, control testing support, and reviewing control management documentation to facilitate compliance and proactively identify gaps.

o  Operate in an advisory role on control issues and provide support and context as questions regarding the CORE framework and regular control reviews arise from stakeholders firmwide.

o  Engagement with Corporate Control functions to facilitate that controls requirements are met.

o  Assess controls implications of potential program changes or business expansion, as needed.

·     Compliance Due Diligence:  Assist with the team’s day-to-day compliance due diligence process, including reviewing and dispositioning sanctions, negative media, or other alerts.  Specific tasks may include:

o  Conduct research and investigation on alerts leveraging firm proprietary tooling and public-source information as well as contacting internal stakeholders to gather added information

o  Prepare and distribute status notifications on requests pending due diligence or that have outstanding alerts

o  Maintain appropriate documentation of diligence results, including in systems of record to facilitate control measures

·     Firmwide Control responsibilities may include review, inspection, maintenance and reporting on functions such as: Records Management, Employee Designations, Procedures Management, User Tool Program Compliance, Office of Legal Obligations, E-Communications, and Business Resiliency, among others.

Qualifications

o  Requires a minimum of 3+ years of industry experience, including 1+ years in Controls, Risk, Business Process Improvement, Audit and/or Compliance. Bachelor's degree in relevant field and experience within financial services industry, are required. 

o  Must be an independent self-starter, with natural curiosity and strong ability to inspect, assess, and challenge status quo.

o  Must display and promote a risk-aware mindset, contributing to a culture of control.

o  Proven planning, coordination and implementation skills and the ability to work across siloes and functions to deliver and execute.

o  Excellent communication, analytical and problem-solving skills, as well as time management and prioritization skills.

o  Ability to maintain focus and deliver outcomes on multiple projects at the same time.

o  Demonstrated success in working collaboratively with divergent stakeholders, from various backgrounds and proficiencies across a large, global organization.  

o  Experience in risk identification, control testing, controls substantiation, audit processes, key risk indicators, etc. is a plus.

o  Experience in regulatory and corporate governance matters, knowledge of control framework particulars is a plus.

o  Experience implementing process improvements/project management skills.