- Raleigh, NC, USA
- Permanent, Full time
- Credit Suisse -
- 25 Apr 19
Sr. Controls Officer # 128629
Global Markets Controls is looking for a strong VP to support Front Office teams in the Global Markets Product (Equities, Credit) and Operations spaces. As a Controls function, we ensure that appropriate levels of supervisory oversight are maintained across Global Markets. The Controls team is responsible for managing Operational Risk through analysis, control testing, reporting and governance forums. The team is tasked with resolving hot topic issues which prevent or slow business. By using Lean Six Sigma operational improvement techniques, we measure and analyze current processes, and engineer changes when gaps exist to ensure adequate controls. You are an independent thinker with strong analytical skills, who will collaborate within a team to achieve the broader goals and objectives.
In this role, you will have the opportunity to work on projects spanning many different groups within the Global Market division. You will be expected to regularly interact with key business partners in various Business, Risk, Compliance and Audit functions. This role is fast paced with a constantly evolving scope, which includes reactive tasks to control incidents, and dedicated work to improve the control environment. The GM Controls Raleigh team utilizes Lean Six Sigma techniques and Robotic Process Automation tools to solve complex problems and automate the control landscape.
- You will perform tyre kick sessions to deep dive into processes and procedures, perform root cause analysis, and provide recommendations on adjusting the control environment to improve control landscape and client experience.
- You will evaluate the design and performance of existing controls, identifying potential risks through control gaps.
- You will perform control testing and front-to-back quality assurance reviews to measure control effectiveness in BAU processes. Drive remediation actions and partner with process owners to implement changes.
- You will participate in existing and/or develop new governance forums to bring relevant business partners together, enable transparent and accountable reporting, and allow for proper escalation channels.
- You will collect raw data from various sources, perform data mining, and develop metrics, to solve business problems and identify trends leading to control breaks.
- You will define new control reports where necessary to help maintain control over regulatory requirements, and compliance with current firm policies and processes.
- You will actively monitor controls and open action points (Compliance, Internal Audit, Regulatory Reporting, RCSA, Incidents), to ensure all existing issues are addressed within appropriate timeframes.
- You will provide full assistance to internal clients as required, including formal and informal training.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- You have 8+ years of experience in Financial Services, with 2+ years in Risk organization (Audit, Compliance, SOX, Operational Risk, Controls).
- You have deep knowledge of the operation and/or control environment at Credit Suisse is a plus.
- Lean Six Sigma certification and/or process improvement knowledge preferred.
- More-advanced Microsoft Excel (e.g: pivot tables, VLOOKUP), PowerPoint, Visio, Word, and SharePoint skills.
- You are proficient in financial/strategic analysis. Ability to conduct complex analysis under tight timelines.
- You are highly motivated and willing to work in both team and independent situations.
- Has the flexibility to take things on not wholly within the written scope of the function, and can handle multiple issues at a time.
- You have excellent communication and interpersonal skills.
- You are comfortable dealing directly with senior internal clients and global partners.
- Clearly communicates status to manager and is transparent in escalating risks/issues.
- Highly organized and has strong attention to detail.
- MBA or MAC not required but a plus.