AWM Marketing Control Manager Vice President
AWM Marketing Control Manager Vice President
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Job Description
As a Control Manager within Asset Wealth Management (AWM) you will support the implementation and maintenance of Compliance Operational Risk Environment (CORE) framework for AWM Marketing. You will collaborate with the business units to implement and maintain controls necessary to mitigate operational risks which includes using a risk based approach to assess the control environment partnering with the business to design effective controls participating in controls testing and function as part of a team to provide oversight to ensure compliance with policies and standards. You will also be responsible for working across diverse and crossfunctional organizations to manage issues and develop plans identify solutions and drive continuous improvement through participation and/or ownership of key control initiatives selfassessments and root cause analysis along with ongoing process review and control testing.
For this role candidates must be able to physically work in either our Newark DE or Columbus OH offices full time according to the schedule determined and communicated by direct management.
Job Responsibilities
- Collaborate with senior business management and partners across AWM functional areas (e.g. Legal Finance Compliance Risk Regulatory Strategy Regulatory Exam Managers (REM) Control Management) and geographies to share information and create synergies
- Help establish control governance and reporting to identify meaningful metrics to inform on health of operational risk and control environment; escalate control breaks based on key reporting indicators; and manage control committees and forums.
- Oversee completion of relevant CORE Governance deliverables andassessments such as Compliance and Operational Risk SummariesProcess Owner Reviews and Quarterly MRI reviews.
- Maintain adherence to key Control Management standards (e.g. CORE Control Committee Risk ID Risk Acceptance Legal Entity).
- Support setup and management of relevant FW Common Processes and associated risks and controls in CORE
- Review business procedures; ensure annual process reviews and attestations (e.g. Business resiliency plan Estimations/ UserTool Inventory)
- Monitor metrics to facilitate management actions for breached metrics
- Participate in regular AWM Issue Review Forums with cross functional stakeholders to ensure consistent issue management practices.
- Support planning and employee engagement activities for AWM Controls
- Partner with AWM Control Managers as well as Firm wide Controls teams to ensure ongoing and effective CORE data quality governance reporting and drive continuous improvement.
Required Qualifications Skills and Capabilities
- Bachelors degree or equivalent experience required
- 7 years of financialservices experiencein controls audit quality assurance risk management or compliance preferred
- Management experience preferred
- Proficient knowledge of control and risk management concepts with the ability to design create and evaluate a Risk & Control SelfAssessment in conjunction with business partners
- Experience with and knowledge of the Asset Wealth Management business and applicable regulations
- Demonstrate confident leadership and sound judgment to influence a strong culture and risk management with the ability to make subjective and informed decisions
- Proficient in Microsoft Office Suite (Word Excel PowerPoint Visio) with the ability to develop compelling and meaningful executive presentations that will drive opportunities / recommendation for improvement
- Excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
- Exceptional interpersonal skills collaboration and relationship building skills
- Solid critical thinking attention to detail and analytical skills; able to synthesize large amounts of data & formulate appropriate conclusionsand able to understand a process and associated risk to inform control design
- Flexible adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fastpaced results driven environment
- CanSpam Privacy Marketing Content Communication and Digital experience a plus
Required Experience:
Chief
Employment Type
Full-Time
