Control Manager - Associate

Job Description

• Your team is responsible for financial planning and analysis, regulatory reporting, strategy, capital stress, business management and internal control on a global basis. The Internal Control & Program Management (IC & PM) team is part of AWM Finance and Business Management and is responsible for several control initiatives and works closely with many support functions across AWM. The team manages the following control initiatives:
• Sarbanes-Oxley (SOX) & CCAR CFO Attestation Program ( CCAP )
• Resolution and Recovery Planning Program Management
• Coordination and documentation of AWM s quarterly Earnings Representation Letter and Control Affirmation process
• Preparation and analysis of Legal Entity Reorganization and Capital Actions ( RCA ) and inter-company guarantees
• Legal Entity Structure / Reg-W Reporting (including Metrics / EMRs)
• Legal entity reporting and analysis as it relates to the Global Enterprise Management System ( GEMS ), rationalization and other business programs (i.e., FATCA);
• Material Risk Inventory; and
• Control management
Job responsibilities:
• Participate in audit type testing for the SOX and CCAP controls to ensure the design of the control is adequate to mitigate the inherent risk and test the required samples for confirming the performance evaluation of the control.
• Provide support for AWM CCAR CFO Attestation Programs (CCAP).
• Perform and review of testing of controls which includes conducting walkthroughs, documenting process flows, requesting information from process owners, creating and executing appropriate test steps, participating in status updates with business owners to share progress and working with the team lead to consolidate results;
• Risk Assessment review by 10K/Q financial statement line item for both quantitative and qualitative risk factors;
• Partnering with LOB, finance, risk and/or technology stakeholders to support consistent implementation of the SOX & CCAP framework; Documenting the narratives and flows related to key processes and controls within AWM; Maintain accurate and complete documentation and follow-up on items through completion; Report findings to the Program manager;
• Assist in validation and closure of SOX/CCAP issues and related action plans; Track the status of deficiencies and their remediation by process owners; Assist in developing recommendations to strengthen internal controls and improve operational efficiency; Assist with monthly and quarterly reporting; Creating a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols;
• Support special projects, as needed, and s tay current with evolving industry and regulatory changes, analyzing their impact to business objectives, processes, and compliance.
Required qualifications, capabilities, and skills:
• 5 to 7 years experience in Auditing, Accounting, Internal Control, Quality Assurance and/or Finance;
• Degree or Post Graduate Degree in Accounting or Finance; CA/ CPA (or any other professional accounting qualification) Preferred;
• Strong background in and/or familiarity with the Financial Services Industry preferred;
• Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate risks and controls in conjunction with business partners; Working knowledge of financial reporting risks and controls;
• Strong skills in time management, problem solving, written and oral communication;
• Works well individually and in teams, shares information and supports colleagues; A problem solver with proven ability to evaluate processes, controls and issues to determine the inherent risks;
• Ability and desire to learn quickly, be flexible, and think strategically; Ability to work in an evolving environment, manage multiple projects and support a growing business; Ability to maintain high ethical standards with a drive to achieve the right answer in difficult and/or ever changing situations;
Preferred qualifications, capabilities, and skills:
• Self-motivated and willingness to take ownership of a project; and
• Working knowledge of Microsoft Office applications (Word, Excel, PowerPoint, Visio).
• Knowledge of business intelligent tools (such as Xceptor, Alteryx, Tableau etc.) preferred
,

Keyskills :
risk managementinternal controlspecial projectsquality assurancechange managementwealth managementrecovery planning