IT Internal Controls Specialist I

Beschreibung

Provide specialized support to the Operational Risk and Internal Controls department in maintaining control and regulatory compliance in the regulatory examination and audit.

Aufgaben

• Work with various business partners to facilitate the completion of assessments and targeted operational risk assessment projects.
• Assisting the Principal Risk Owners and Principal Risk Coordinators with the identification of key risks and mitigating controls in their business units.
• Conduct assessments focused on identifying key risks and mitigating controls in day-to-day operations and projects, as well as design and execution of tests to identify possible control weaknesses, preparing adequate documentation on missing remediation due to the assessment outcome.
• Working with business units from day-to-day activities and projects, as gaps in the mitigating measures identified.
• Compliant with all post-close of findings errors, and uses the tools system in monitoring control issues such as re-plans and day-to-day.
• Test self-assessments / controls to identify gaps in mitigating control
• Assist business partners in addressing control weaknesses and initiating corrective actions.
• Review new product controls proposals to ensure same are supported by findings and ensure compliance in the new product pre-launch.
• Test self-assessments / controls to identify possible control weaknesses in departments and functions and other business units.
• Ongoing monitoring of outcome issues resulting from findings evaluation and development plans, and re-plan as needed.
• Analyse, design, document and maintain control monitoring plan and test plan.
• Collaborate with cross-functional teams (e.g., Risk, Legal, IT) to develop effective controls and mitigate risks.
• Maintain and optimize existing IT control frameworks based on industry standards.

Anforderungen

• BA degree business or related field preferred, equivalent work experience considered.
• Minimum 2 years’ experience of bank and/or broker dealer operations. Risk Assessment roles.
• Proven ability to develop, document and maintain operational performance manual. Experiences performing assessment, reviews, audit and/or testing.
• Experience working with Excel, Access and/or other similar analytical systems and building dashboard.
• Knowledge in tools used for data science and other statistical analysis (Desirable)
• Knowledge of U.S. banking and broker dealer regulations, Sarbanes-Oxley and COSO methodology.
• Advanced skills in Microsoft Office applications, specifically Excel, R or Python.
• Strong communication skills.
• Fluency in English.
• Fluency in Spanish and/or Portuguese is desirable.