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Assist in the preparation of regular and ad-hoc presentations, decks, or reporting to be delivered to Senior Management, SC Committees, Forums or other Working Groups, as well as SLoD, and or external requestors such as Regulatory bodies.
Evaluate new Action Drivers and Mitigating Actions for situations which breach Escalation Impact Thresholds and facilitate immediate escalation to Functional Control and Issue Management leadership as well as Operational Risk Management. Participate as needed in the creation of escalation notification provided to Executive Management, Ops Risk Committee, and SHUSA stakeholders.
Perform timely review and effective challenge of documentation provided for all assigned Action Drivers including intake, root cause, mitigating actions, material changes, risk acceptance, and closure requests. Address insufficient or incomplete documentation and provide clear, concise feedback to outline corrections or additional information required.
Communicates findings/concerns, both verbally and in writing, to Leadership.
As requested, facilitate and present discussions on behalf of Business Controls with key stakeholders across the organization and lines of defense including but not limited to: Triage, Governance forums, and Committee structures. For discussions which are owned by Business Controls, facilitate scheduling, preparation of agendas, and completion and distribution of meeting minutes.
Updates documentation throughout the Issue Management life cycle.
Evaluates evidence and artifacts for assigned items and fill in gaps as they are seen to assist and facilitate the completion of the team-s work.
As needed, attend and participate on behalf of Management in discussions for high level initiatives where Business Control Office is a key stakeholder. Examples may include but are not limited to: system conversions, strategy changes, or new initiatives within the organization. Keep detailed and accurate records of follow up actions or areas of focus for Business Control. Escalate areas of concern or potential roadblocks to leadership as appropriate.
As requested, develop, present, and coordinate strategies to execute work within Business Control team for ad-hoc needs and special projects. Lead team staff meetings and calibrations in the absence of Management.
Establishes, develops, and maintains appropriate and viable interpersonal relationships working as part of the Business Control team and working independently of their direct manager when appropriate.
Promotes the professional image of the Business Control Group through the practice of being beyond reproach in all areas of outward visibility, especially when dealing with internal and external Management personnel.
Demonstrate ability to work as part of a team. Aid in the development of bench strength within the Business Control team by leveraging knowledge of risk and controls to share best practices and assist in the training of less seasoned team members or new hires.
Possesses the ability to identify preventive solutions to problems.
Shares knowledge with team members, counterparts, subordinates, and peers to facilitate the enhancement of all aspects of the team.
Participate in activities and projects that build a Culture of Compliance within the organization.
Ensure all tasks are carried out with a high degree of professionalism and lead by example.
As required, participate in complex projects and business initiatives in alignment with the organizations risk appetite and regulatory requirements.
Job Family: Risk
Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.
Job Function: Business Control
Ensures transparency of business results, finance and processes. Typically organizes a reporting system and tracks goals accomplishment, collect and process data and provides managers with all necessary company management data and information.
Summary of Responsibilities:
The Associate, Business Control & Risk Management (Business Controls Administrator) is responsible for various activities related to Business Controls performance. Works to identify, assess and action various risks throughout the assigned business line by executing defined risk programs. The Associate, Business Control & Risk Management is responsible for developing, analyzing, reporting and challenging data. S/he participates in initiatives and recommends opportunities for improved efficiency, effectiveness and/or risk reduction.
May serve as a delegate for Functional Control Leads or in an interim capacity as a Functional Control Lead.
Produces documentation to expected standards and within timescales set by First and Second Line of Defense policies and standards.
Prepares findings and comments for the Functional Control Leads (as needed). Compiles developed individual exceptions into themed issues that can be easily digested and -managed upâ? by Business Controls leadership.
Assists other team members, both in the role of counterpart/peer and coach/leader (as appropriate) in completing their work, especially if excess bandwidth exists.
Documentation of Functional Control processes, creation of Control process job aids and process mapping.
Reviews / checks progress against business action plans and FCO service delivery as required.
Discusses and validates findings with Leadership, as appropriate.
Clears issues with Business Unit Management, consistently, with confidence at the Director level and above.
Develops and maintains Functional Control procedures.
Drafts control reporting decks including Functional Control Forum deck and Operations BCO Dashboard comments.
Business Controls liaison for Legal Requirements Change Assessments
May perform Quality Assurance checks for adherence to standards and quality of work product of Control Analysts.
Special projects as requested including reporting and analysis or consultancy work. Perform other duties as assigned.
College degree preferred.
Three to Five years of Risk Management, Business Controls or related experience.
Strong proficiency in analytical work, documentation capacity and capability, and presentation abilities
Professional, Articulate, and effective communicator with a proactive and -no surprise- approach in communicating issues and strength in sustaining independent views.
Flexibility and willingness to travel as needed
Good proficiency in advanced PC applications (MS Access, SQL, IDEA, etc.)
Expert ability to set and balance short- and long-term priorities and remain focused within a rigorous, fast-paced and dynamic environment.
Prior experience in corporate environment dealing with auditors and legal counsel is not required but preferred.
Strategic and tactical thinker
Strong written and verbal communication skills with ability to foster a collaborative working relationship with multiple functional and operational areas.
Ability to adapt to various work environments, industries, and project schedules.
Proven ability to build network quickly, influence others and effectively address audiences of all levels.
Ability to maintain confidentiality.
Extended working hours may be required as dictated by management and business needs.
Travel to multiple facilities may be required.
May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
May be required to sit and review information on a computer screen for long periods of time.
May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard.
Corporate / satellite office role.
This job description does not list all the duties of the job. You may be asked by your supervisors or managers to perform other duties. You will be evaluated in part based upon your performance of the tasks listed in this job description.
The employer has the right to revise this job description at any time. This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.