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Regulatory Reporting Analyst 2 (Controls, Audit) # 25246

Job Title:

Regulatory Reporting Analyst 2 (Controls, Audit) # 25246


Morrisville, NC




1 year

Job Description:

Provide controls for the Global Markets Client Services Controls program

Work with GMCS teams to define and maintain the controls framework

Provide pre-audit health check and tyre kick for teams within GMCS

Host working group sessions with GMCS teams to create process and control maps

Evaluate the design and performance of existing controls, identify control gaps and measure effectiveness of controls in managing operational risk

Establish solid relationships with various functions and businesses throughout GM

Provide updates to senior management on status of tyre kicks and controls

Proactively monitor and ensure all existing controls are addressed within appropriate timeframes

Ensure Client Services team utilizes standardized control tracking systems

Provide training and awareness on relevant CS policies and standardized control tracking systems

GM Client Services – Senior Controls PM/BA

Area: Global Markets

Group overview

The Front Office Onboarding Group exists to move clients from ‘prospect’ to ‘customer’ in the shortest possible time.  Onboarding also support sales personnel by providing immediate advice on any account opening and documentation issues that often present themselves.  The team is tasked with resolving complex issues which prevents or slows business. Onboarding ensures high standards of Ethics and Control are maintained during account opening processes, assist in ad-hoc / ongoing regulatory projects and improve quality of client static data on CS internal databases.

This role is a Program Manager for the GM Controls Program.  Managers are expected to take full responsibility for defining controls for the GM Client Services program.  They will work on multiple programs within the GMCS teams

Job Requirements:

knowledge of tableau, developing metrics dashboards, and good communication skills

- really not looking for accounting backgrounds

- need technical skills (reporting, tableau) and with a good amount of experience in it

- they like folks with a VA background - someone analytical

- data analysis and validation are big and need more experience - when they do see it with what we presented it was too junior

- Quality assurance/auditing backgrounds with focus on Risk would be very helpful

- Excel is not as important as MS Access - but need to really work in it and explain it because they see that they have it on a resume but it is not explained

- folks with a compliance background would also be helpful




Bachelor’s Degree and strong academics

5+ years of relevant experience

Minimum of 2+ years in Risk organization (Audit, Compliance, SOX, Operational Risk)

Significant controls experience

Excellent verbal and written communication, presentation, and organizational skills

Self starter, self-guiding, and can demonstrate independent thinking

Strong communication and interpersonal skills; comfortable dealing directly with senior internal clients

Excellent attention to detail

Extremely strong organizational skills

Excellent relationship and interpersonal skills

Excellent Microsoft Project and Visio skills

Strong Excel, PowerPoint and SharePoint skills

Regulatory experience


Experience working with Banking/Financial area and/or general knowledge of Investment Banking Operations processes

Knowledge of Client processes front to back

Knowledgeable of operations

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