Sr. Business Controls Specialist – AML QA/QC Oversight (M&I)

Charlotte, North Carolina;Fort Worth, Texas; Pennington, New Jersey; Plano, Texas

Job Description:

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Job Description:

This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards. Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.

Responsibilities:

• Oversees the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards

• Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation

• Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts

• Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness

• Performs QA activities including executing on controls, managing cases, and reporting results

• Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success

• Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting

Skills:

• 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

• Innovative Thinking

• Prioritization

• Recording/Organizing Information

• Research

Line of Business Job Description:

About this Team

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.

LOB Specific Job Description :

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.

Role Responsibilities:

• Defines scope, sampling requirements, and minimum requirements/standards for the GCAOO QC/QA program.

• Executes governance routines that measure the adherence to the GCAOO QC/QA program requirements, including sampling adherence and root cause analysis for underperforming testers.

• Supports QA script development, procedure development, training, change management, and strategy and initiatives.

• Maintains a culture of compliance and supports the identification, escalation and timely mitigation of compliance/quality risks.

• Applies knowledge and expertise to influence business managers and peers to ensure enforcement of the QC/QA program.

• May interface with auditors, business and support leaders.

Qualifications :

• 3+ years of experience with risk management, and/or AML Know-Your-Client/Client Due Diligence

• Highly motivated, proactive and a self-starter; strong sense of ownership & ability to create and execute plans without daily oversight

• Awareness and understanding of the wider business, market and regulatory environment

• Ability to interact and influence across all levels of the organization

• Excellent verbal, written, and interpersonal communication skills

• Data management experience (data quality, governance, etc.)

• Strong Microsoft Office Suite (Excel, PowerPoint, Visio, etc.) experience

• Control focused mindset and relative understanding of regulatory and reputational risks by applying adequate business context for appropriate groups like audit, regulators

• Ability to manage multiple projects at once by prioritization and meeting deadlines

• Able to identify and remediate risks in a timely manner

• Critical thinker; ability to analyze problems and identify both tactical and strategic solutions to address

• Knowledge of AML and/or GBGM businesses preferred

• Ability to assess the effectiveness of arrangements to deliver effective governance, oversight and controls in the business

• Project management, ability to deliver change at program level

• Must be flexible and have experience working in a fast-paced environment

• Proactively looks foropportunities, solutions and process improvements, manages projects, including, milestones and task management, resources, risks/dependencies

Skills

• Business Controls

• Compliance

• Audit

• Risk Management

• Quality Assurance

• Problem Solving

• Analytical Thinking

• Influence

• Collaboration

• Results Oriented

• Adaptability

• Attention to Detail

• Monitoring and Testing

• Critical Thinking

• Written Communications

• Decision Making

Shift:

1st shift (United States of America)

Hours Per Week:

40

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