What are the responsibilities and job description for the Senior Analyst, Control Testing and Management position at RBC Capital Markets, LLC?
Job Summary
Job Description
What is the opportunity?
The Senior Analyst, Control Testing and Management will be responsible for executing the RBC Wealth Management-US (WM-US) control testing and management program in accordance with the RBC Internal Controls Management Policy (ICMP) and other Enterprise risk frameworks and standards.
This role will be apart of WM-US' First Line of Defense control environment testing and management function, and in particular, perform control testing, assessments, and other control assurance activities to help ensure the design and operative effectiveness of firm controls.
The Senior Analyst, Control Testing and Management will work closely with a variety of partners across lines of business and functional groups to execute the control testing and management program, performing critical risk management activities and helping the firm achieve its business objectives.
What will you do?
- Develop and maintain subject matter expertise under our ICMP, both with respect to control testing and control management.
- Execute initial calendar lifecycle of testing, plus go-forward, ongoing calendar for recurring annual and new control testing.
- Draft and review procedures, templates, reference guides, etc., for executing design and operating effectiveness assessments and other aspects of testing.
- Participate in and lead testing kickoff and close out meetings with control owners to communicate plan and expectations, summarize findings/issues, lead discussions, and address questions/concerns.
- Negotiate findings and issues to be raised with control owners and their leadership, including issuing closing memos with observations, findings and/or issues from testing.
- Open formal operational risk issues for identified findings and issues from testing.
- Highly organized, flexible and excel at prioritizing and meeting deadlines; ability to prioritize and manage multiple tasks and projects while ensuring that goals are met.
- Work under pressure in fast-paced and deadline driven environment with multiple competing priorities.
What do you need to succeed?
Must-have
- Bachelor's degree in finance, business, or related field and proficiency in Microsoft Office Suite
- 5-7 years of experience within wealth management, financial services, or comparable business
- Strong knowledge of leading operational risk practices and regulatory expectations, including with respect to controls. Skill and judgment to be able to deal effectively with and influence business partners, stakeholders, and senior management.
- Proven skill in handling conflict, strategic thinking and decision making in a time-sensitive environment, meticulous attention to detail and strong written and verbal communication skills.
Nice-to-have
- Quality assurance experience within the banking industry.
- Experience working in US wealth management broker-dealer risk and/or compliance.
- Series 7; Series 63/65 or 66; and Series 9/10 or Series 24.
- JD or other professional degree.
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- Flexible work/life balance options
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
- Access to a variety of job opportunities across business
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
* Drives RBC's high performance culture
* Enables collective achievement of our strategic goals
* Generates sustainable shareholder returns and above market shareholder value
Job Skills
Business Process Design, Decision Making, Financial Risk Management (FRM), Operational Risks, Risk Control, Risk Management, TeamworkAdditional Job Details
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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.
