Job Description
As a CO&D Controls Officer, you will be responsible for supporting the controls agenda globally, including identifying and monitoring significant risks and ensuring compliance with operational policies, control procedures, and legal/regulatory requirements. The controls agenda will support the end-to-end CO&D organization by providing management with sufficient information to understand and monitor key operational risks and regulatory activities/concerns.
Controls Officer will partner with critical stakeholders including Oversight and Control, Compliance, Technology and Audit to ensure alignment to firm standards. CO&D operational risks and controls will be consistently evaluated on an ongoing and independent basis using a risk-based approach to comply with regulatory requirements.
Responsibilities:
Developand maintain knowledge of CO&D policies, procedures, and operating model as well as systems/platforms used to carry out these activities
Perform internal control reviews to validate the effectiveness of key controls in the COB operational processes
Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment
Provide reporting of significant control activities (e.g., status of audits and exams, outstanding issues and corrective actions, continuity of business plans and testing, critical information security breaches, control scorecards for COB Organization, mandatory training breaches, etc.). Information to be sourced from all related sources
Analyze issues identified for trends and appropriate corrective action in all affected areas. Perform root cause analysis and work with COB teams to implement best practices.
Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to WCOB Global OCM Lead and key stakeholders
Work to tight deadlines and deliver an accurate product in a very aggressive schedule.
Drive the automation agenda within Controls and assess opportunities for automation for Operations basis analysis of the Issues & Actions.
Qualifications
Overall 8-11years of experience.
Demonstrate strong Tax Operations knowledge a good understanding of the tax processes
Minimum 2-3 years of relevant experience in either Controls.
Compliance, or Risk/Controls within then Investment/Corporate Banking business of a financial institution
AI Implementation knowledge of any of the tools - Alteryx, Tableau, Instabase, Pega etc.
Strong analytical and problem-solving skills including taking the initiative to drive change
Strong relationship management, influence management, and ability to partner with stakeholders
Bachelor's degree and or relevant work experience require
Experience in assessing end-to-end processes to identify operational riskand determine the adequacy of controls
Self-starter who is able to work in a fast-paced, results-driven environment
Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Proficiencywith MS Office (Outlook/Word/Excel/PowerPoint) advanced user knowledge of excel required
2.00-3.00 Years
Controls Officer will partner with critical stakeholders including Oversight and Control, Compliance, Technology and Audit to ensure alignment to firm standards. CO&D operational risks and controls will be consistently evaluated on an ongoing and independent basis using a risk-based approach to comply with regulatory requirements.
Responsibilities:
Developand maintain knowledge of CO&D policies, procedures, and operating model as well as systems/platforms used to carry out these activities
Perform internal control reviews to validate the effectiveness of key controls in the COB operational processes
Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment
Provide reporting of significant control activities (e.g., status of audits and exams, outstanding issues and corrective actions, continuity of business plans and testing, critical information security breaches, control scorecards for COB Organization, mandatory training breaches, etc.). Information to be sourced from all related sources
Analyze issues identified for trends and appropriate corrective action in all affected areas. Perform root cause analysis and work with COB teams to implement best practices.
Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to WCOB Global OCM Lead and key stakeholders
Work to tight deadlines and deliver an accurate product in a very aggressive schedule.
Drive the automation agenda within Controls and assess opportunities for automation for Operations basis analysis of the Issues & Actions.
Qualifications
Overall 8-11years of experience.
Demonstrate strong Tax Operations knowledge a good understanding of the tax processes
Minimum 2-3 years of relevant experience in either Controls.
Compliance, or Risk/Controls within then Investment/Corporate Banking business of a financial institution
AI Implementation knowledge of any of the tools - Alteryx, Tableau, Instabase, Pega etc.
Strong analytical and problem-solving skills including taking the initiative to drive change
Strong relationship management, influence management, and ability to partner with stakeholders
Bachelor's degree and or relevant work experience require
Experience in assessing end-to-end processes to identify operational riskand determine the adequacy of controls
Self-starter who is able to work in a fast-paced, results-driven environment
Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Proficiencywith MS Office (Outlook/Word/Excel/PowerPoint) advanced user knowledge of excel required
2.00-3.00 Years
💡 Quick Summary
Seeking a career-building opportunity? The Control Manager | Oversight Governance position is now open for candidates interested in the Bank Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.