GCIB Business Controls Officer, Communications Review & Enterprise Programs

Job Description:

Global Corporate & Investment Banking (GCIB) has a global footprint. As part of its business model, GCIB ensures that it conducts adequate reviews for appropriate mitigation, when required. As part of this team, the individual is expected to have a good understanding of GCIB business. Having a deep understanding of the region-specific policies, procedures and regulatory expectations is also desirable. The individuals on this team are responsible for business controls for electronic communication and other enterprise programs.

RESPONSIBILITIES

 Communication Monitoring

• Serve as an escalation point for review team members.
• Provide primary review coverage, as needed, particularly in specialized areas (BEC, APAC, LATAM, GCIB/COO senior management, etc.)
• Serve as back-up reviewer across AMRS, APAC EMEA LATAM
• Develop and execute expanded/enhanced targeted reviews.
• Develop, execute and oversee Enhanced Monitoring & Supplemental/Manager Review programs.

Enterprise Programs

• Act as a point of contact for certain Enterprise Programs / Enterprise Common Processes, and manage related business controls (e.g., management reporting, QA and QC and maintenance of related procedures) for various enterprise processes, activities, and programs, including but limited to Business Electronic Communication (BEC), Marketing and Advertising, and Customer Complaints.

Governance and Controls

• Lead and Develop
  • Drive development and implementation for adherence and oversight for eComm program requirements applicable to GCIB. 
  • Actively lead and independently drive strategic goals and deliverables.
  • Drive lexicon development and oversight program.
  • Develop and distribute executive-level reporting to senior managers, including preparing metrics, and reporting surveillance results to senior management to identifying potential trends or themes that may warrant mitigation, further consideration, or action.
  • Represent the group in communication/presentations with management, Compliance, and other internal stakeholders.
  • Point of contact for bankers and GCIB management when matters require attention.

• Implement & Improve
  • Implement program changes to enhance lexicons, update policies, standards, procedures and/or processes to address regulatory / Compliance requirements or industry trends.
  • Participate in implementing new projects to achieve short and long-term business objectives by providing surveillance system analysis, testing and feedback to stakeholders.
  • Analyze and Assess opportunities to enhance operational efficiencies and mitigate risks, including actively monitoring false positives for lexicon enhancements.
  • Help drive process improvement initiatives to create more effective and efficient risk mitigation.
  • Monitor industry developments and changes in regulations applicable to GCIB; reviews with risk partners as appropriate.

• Manage & Maintain
  • Managing, maintaining, and enhancing the control environment, including through Quality Assurance and Quality Adherence (QA/QC) routines
  • Managing, maintaining, and enhancing relevant single process inventory (SPI) attributes pertaining to Performing Communication Monitoring for GCIB within the process owner portal (POP)
  • Where required, participate in industry forums and monitor regulatory expectations, emerging legislation and regulation to identify and mitigate emerging risks.
  • Represent GCIB BCO at various committees, forums and meetings as required.

REQUIRED SKILLS

• Ability to operate independently and collaborate across wide span of stakeholders including bankers, senior management, risk partners and regulators/ auditors.
• Strong leadership qualities and result driven approach.
• Control focused mindset and good understanding of regulatory and reputational risks
• Independent and ability to multi-task and meet multiple timelines.
• Ability to work under pressure in a team environment.
• Strong decision-making and problem-solving skills.
• Proven ability to develop Executive-ready presentations.
• Proven track record in being able to work effectively in a fast-paced, dynamic, highly matrix and complex environment.
• Self-starter with the ability to deliver across a varied set of priorities, both planned and ad-hoc and adapt within a dynamic and fast paced environment.
• Excellent business communication skills, ability to work with and communicate with all levels across the organization, leveraging advanced written, verbal and presentation skills.
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner.
• Attention to detail and high standard for quality work product.
• Ability to think creatively to solve problems and anticipate potential questions or issues.
• Effective time management and prioritization, strong multi-tasking abilities.
• Highly proficient in Microsoft Excel, PowerPoint and Word

Plus

• Multiple language skills (Chinese, French, Italian, Japanese, Korean, Portuguese)
• Data Analytics and Tableau a plus.
• Proven track record of building and deploying control process and control changes.
• Banking and Surveillance experience a plus.
• Knowledge and understanding of Crypto-related activities and Marijuana related regulations.

Shift:

Hours Per Week: