Risk and Control Analyst (SD329)
M&IB US - Stamford, CT

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The individual will manage the implementation of initiatives as dictated by business needs and operational risk control issues.

Control Reviews/Testing ¨

Facilitate Controls Environment Certification (CEC) testing including Sarbanes Oxley (SOX) and non-SOX testing with Finance and Operational Risk ¨

Facilitate audits of Operation areas internally with Internal Audit and externally with Deloitte ¨

Review and maintain operational process maps and identify key controls ¨

Conduct monthly and quarterly reviews of users and their corresponding privileges

Incident Management ¨

Manage the escalation and reporting of risk incidents including audit, business and SOX raised issues ¨

Monitor pending/outstanding incidents and actions to ensure all deadlines are met ¨

Manage the reporting of accepted risks by ensuring that Exception to Policies (EtP) forms are completed and submitted for approval

Policy Reviews ¨

Conduct reviews as mandated to ensure compliance with various policies

Risk and Control Initiatives/Reporting ¨

Manage the coordination of global / local projects and industry initiatives ¨

Produce and distribute global and various local business risk and control reporting ¨

Bachelor’s degree (Finance or Business preferred) ¨

Knowledge of securities industry a plus ¨

Prior Risk and Control experience preferred ¨

Proficiency in Microsoft Office applications ¨

The candidate must be able to work on multiple tasks and respond well to a deadline oriented environment ¨

The candidate must possess excellent communication, presentation, and people management skills ¨

The candidate must be able to develop professional relationships across the firm with all levels of staff and management
The candidate must possess strong quantitative and project management skills with the ability to drive results

It is the policy of The Royal Bank of Scotland, PLC and its subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other factor protected by federal, state and/or local laws. “

Employer immigration sponsorship not available for this role.”

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