Mortgage Business Control Manager

The Compl Bus Control Sr Analyst is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.

Responsibilities:

• Analyze documentation and processes to ensure risks and control points are properly addressed, and are in accordance with Risk and Control Self-Assessments Policies
• Contribute to the resolution of cross-functional issues designed to ensure business compliance with laws, regulations, and policy requirements across key / complex risk levels. Support the business in the root cause analysis, draft the appropriate corrective action plans, close monitoring on the progress of such action plans.
• Coordinate and conduct the overall Control Tests and Reviews for the business as part of Quarterly Risk Assessment (QRA), track the status, ensure timely completion, and escalate exceptions to management team.
• Drive the Annual Risk Assessment based on the analysis of internally raised risks and issues (management raised issues, Compliance review issues, Internal Audit review issues, etc.) and externally raised risks and issues (regulatory issues, KPMG observations, etc.); perform a review of the business’ ACRM (Activity, Risk, Control and Monitoring) for quality assurance and completeness
• Work with business and stakeholders to implement and ensure ongoing monitoring of the Digital Retrieval Program, escalate and remediate any gaps identified through this program.
• Track issue and CAP status and progress, and early escalation to the senior management team of any issues and CAPs that are at risk of missing their target dates at least 30 days ahead of the targeted closure date; support the business on ‘at-risk’ issues and CAPs
• End-to-end management of the Sales Practice Reviews, liaising with stakeholders for timely and appropriate case reviews, escalate and remediate any gaps identified through this review.
• Ensure business is in permanent audit readiness state, drive the ad hoc deep dive reviews and health checks with stakeholders.
• Good understanding of operational risk and control processes is a plus point, good stakeholder management skills (verbal/written communications, ability to influence and negotiate), able to communicate effectively with stakeholders

Requisites

• Bachelor’s/University degree or equivalent experience
• At least 5 years of working experience in consumer banks, with good knowledge of banking products and processes.
• Aptitude and experience in risk and control related roles in first line of defense and familiar with operational risk management concepts and tools.
• University degree or equivalent, with major study in accountancy, banking and / or finance.
• Positive attitude to change, constantly looking for better ways to get things done and to challenge status quo.
• Strong communication and facilitation skills; able to work with and influence stakeholders at all levels.

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