Senior Business Controls Specialist

• Oversee the design and effectiveness of the risk and control environment supporting Client Operational Services
• Support monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
• Implement optimized controls and enhanced Quality Assurance practices supporting business continuity
• Conduct and coordinate quality inspection reviews to enhance employee performance and control effectiveness
• Perform QA activities, including executing controls, managing cases, and reporting results
• Execute initiatives involving testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities
• Support management and research for regulatory exams, internal audits, monitoring, and inspection reviews
• Evaluate inspection metrics for governance activities and dashboard reporting
• Potentially manage associates and perform manager responsibilities including inclusion, process and data management, communication, risk management, coaching, financial stewardship, talent leadership, and business outcomes

• Understanding of Consumer Investments clients and business
• Strong problem solving and follow up skills
• Ability to escalate and gain resolution as needed
• Effective interpersonal skills and ability to solicit input from others
• Detail oriented, self-starter able to work independently
• Ability to quickly develop subject matter expertise across a broad spectrum of issues
• Strong organization skills, including ability to manage multiple responsibilities, prioritize and meet deadlines
• Strong investigative, research, and analytical skills
• Microsoft Excel proficiency
• 2+ years of risk management and/or FLU experience
• Series 7 preferred

Demonstrates expertise in risk management and control effectiveness, with a strong focus on quality assurance practices and regulatory compliance. Proficient in data analysis and reporting, with the ability to manage multiple responsibilities and lead teams effectively.

• Risk Management
• Quality Assurance
• Data Analysis
• Microsoft Excel Proficiency
• Series 7

• Risk Management
• Quality Assurance
• Data Analysis
• Investigative Skills
• Analytical Skills
• Control Testing
• Process Management
• Control Improvement
• Testing Automation
• Dashboard Reporting

• Problem Solving
• Interpersonal Skills
• Detail Oriented
• Organizational Skills
• Coaching

• Series 7

• Consumer Investments
• Regulatory Compliance
• Internal Audits
• Governance Activities
• Business Continuity