WIM Financial Crimes Lead Business Accountability Specialist

About this role:

The Wealth and Investment Management (WIM) Financial Crimes Governance and Oversight organization is seeking a proven leader to manage the group’s Control and Issue Management functions. The person in this role must be an effective leader and communicator with highly effective organizational, time management and must have the ability to consistently drive timely results across a broad group of stakeholders in a timely manner.

In this role, you will:

• Engage and influence business leaders, legal, Internal Testing & Validation, Audit and other stakeholders to continually improve the business line’s risk and control environment
• Identify and recommend opportunities for business line process and control improvement in alignment with the Control and business’ strategic objectives
• Manage the on-time and accurate completion of several Risk and Control Self-Assessment (RCSA) annual refreshes and Business Environment Changes
• Collaborate with other Control teams and the business line to reduce risk, simplify and create control and Risk Assessable Unit (RAU) efficiencies
• Manage a portfolio of issues to ensure accurate root cause analysis, the development of effective corrective actions, timely completion and successful validations
• Responsible of the interpretation and adherence to the corporate Issue Management policy and procedures and responsible for the entire lifecycle of a portfolio of issues which have resulted due to potential exposure or control breakdown
• Ensure efficient, quality and cost-effective solutions to assigned issue portfolio
• Perform assessment through fact finding and data requiring creative approaches to solving complex issues and develop appropriate solutions or recommendations
• Work independently to make recommendations for Issue Management function by providing support and leadership
• Lead the preparation and facilitation of internal reviews and audits to include process walkthroughs, gathering artifacts and preparing presentation materials

Required Qualifications

• 5+ years of risk management, control management and issue management in the financial services industry or equivalent demonstrated through one or more of a combination of the following:  work experience, training, military experience, education

Desired Qualifications:

• Experience supporting Anti-Money Laundering functions and processes
• Experience with the Risk and Control Self-Assessment framework and leadership of annual refreshes
• Experience partnering with Independent Risk Management and Internal Audit teams
• Advanced knowledge of the Issue Management policy
• Experience with working with Veritas and Shared Risk Platform (SHRP)
• Proven leadership and project management skills to drive alignment across stakeholder groups to develop and deliver repeatable end-to-end risk management solutions and controls aligned with the group’s processes
• Ability to work independently and within a collaborative team environment, take initiative and assume accountability
• Ability to consult with leaders across various operational, functional and technical disciplines
• Exceptional verbal and written communication and presentation skills
• Exceptional leadership, communication and relationship building skills
• Ability to successfully manage competing priorities in a high-pressure deadline driven environment and must be able to effectively navigate a highly matrixed organizational structure to identify, build and maintain key relationships

Job Expectations:

• This position offers a hybrid work schedule in one of the listed job locations
• This position is not eligible for Visa sponsorship

Job Location:

• Charlotte, St. Louis, Minneapolis

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but n