Control Manager – Wealth Management

Control Manager – Wealth Management

• Risk Assessment & Monitoring: Collaborate with business partners, Legal, Compliance, and other advisors to perform ongoing assessment and monitoring of the operational risk and control environment.
• Control Design & Implementation: Provide control-related expertise to assist in designing and implementing efficient, effective, and repeatable processes and controls.
• Stakeholder Collaboration: Establish trusting partnerships and foster a culture of respectful, honest communication with Control Managers, business partners, and intersecting functional teams.
• Audit & Compliance: Serve as a liaison for audit, regulatory, and compliance responses and exams.
• Control Testing & Remediation: Work with central support teams for execution, administration, and tracking of control testing, management, and remediation of control gaps.
• Continuous Improvement: Identify control gaps or errors, determine root causes, and share lessons learned to drive continuous improvement.

Required qualifications, capabilities, and skills.

• 8+ years of experience in Risk & Controls Assessment, Internal Controls Design, or related fields.
• Experience using artificial intelligence and large language model tools to improve risk and controls work products (for example, drafting or summarizing control narratives, procedures, and test results)
• Familiarity with dashboarding, analytics, and workflow tools (for example, Tableau, Alteryx, Power BI, or similar) to track issues, milestones, trends, and key performance and key risk indicators
• Expertise in control management within the financial services sector, focusing on compliance and operational risk mitigation.
• Proven experience in investment banking processes or institutional financial services.
• Strong analytical and investigative mindset with a dedication to continuous learning and process improvement.
• Excellent communication and interpersonal skills to interact with global teams.
• Advanced knowledge of MS Office, particularly MS Excel and PowerPoint.

Preferred qualifications, capabilities, and skills:

• Strong team player with the ability to work independently and think strategically. Should be flexible to work in EMEA shift.
• Capability to leverage expert understanding of AI/ML for identifying and mitigating risks associated with emerging technologies, and skilled in automation to streamline processes and enhance efficiency in control management.
• Experience working in a matrix reporting environment and partnering across regions and time zones, including extensive effective partnership via virtual (zoom) meetings
• Ability to manage multiple tasks and prioritize effectively with flexibility to manage shifting priorities in a fast-paced environment.
• Process mapping/re-engineering experience
• Demonstrated initiative, ownership, and accountability.