Associate, Business Control and Risk Management
Company: Santander Holdings USA Inc
Location: Dallas
Posted on: April 10, 2021
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Job Description:
Description Job Family: RiskMonitors activities to minimize the
company's exposure to risk. Activities may include quantitative
analysis, risk identification and remediation. Represents or
supports the reputation of the company to minimize compliance and
regulatory risk by resolving issues and ensuring adherence to
company and legal standards. Responsible for ensuring that all of
the company's activities adhere to the necessary rules and
regulations, and that the company complies with legal/regulatory
statutes and jurisdictions.Job Function: Business ControlEnsures
transparency of business results, finance and processes. Typically
organizes a reporting system and tracks goals accomplishment,
collect and process data and provides managers with all necessary
company management data and information.Summary of
Responsibilities:The Associate, Business Control & Risk Management,
represents the First Line of Defense and is responsible for
partnering with Internal Controls to ensure strong internal
controls capabilities and remediation of the internal control
environment for the represented business line and/or functional
area. The Associate works to identify, assess and action various
risks throughout the assigned business line by executing defined
risk programs.Essential Functions:Analyzes documentation for
evidence of successful and efficient performance.Applies developing
knowledge and supports the design, assessment, and/or
administration of quality assurance programs, practices and
policies.Assists in the collection and initial analysis of data,
preparation of business owner control surveysConducts quality
audits on all routine and complex transactions and correspondence
to ensure proper processing according to established quality
standards.Develops training on policies and procedures concerning
controls and risk management.Independently conduct internal control
testing - including on-site observations, interviews with
management and staff, analytical procedures and
statistical/judgmental analysis and testing of data.Interprets
regulations affecting control standards with large degree of
independence and suggests methods of updating policies and
practices to address any risk concerns.Leads operating process and
internal control improvement initiatives.Manages complex projects
that involve working with businesses to improve controls to
mitigate any deficiencies.Partners with Internal Audit, Compliance,
and/or Operations Management to share information and escalate
issues as needed.Provides thematic analysis of issues for business
to identify emerging trends.Reports audit results and determines
corrective action plans, as necessary.Reviews current policies and
procedures to identify process gaps and opportunities for
improvement.Reviews, monitors and tests internal controls and
procedures associated with products, services, customers and
operations.Through walkthroughs and testing, identifies possible
internal control breakdowns and gaps and report them to
management.Works with the business to understand the controls
currently in place to minimize risk.Other Functions:Other duties as
assigned.Requirements:Education -Bachelor's Degree: Accounting,
Business, Statistics, Risk Management, Information Systems,
Finance, Economics or equivalent field.or equivalent work
experienceMaster's Degree: Accounting, Business, Statistics, Risk
Management, Information Systems, Finance, Economics or equivalent
field.Experience -5-9 years Risk Management, Internal Controls,
Auditing, Credit Management, relevant line of business experience
and/or legal or regulatory experience.Skills & Abilities -
Demonstrated experience supporting and/or leading risk projects
across multiple business lines offering a wide variety of financial
services products and services.Knowledge of the financial services
sector, particularly with the competitive dynamics and products in
retail banking and risk management.Advanced understanding of the
regulatory environment and how the risks of the products and
services the bank offers are viewed by the Second Line of Defense
and regulators.Ability to build credibility with, collaborate with,
and influence line of business executives.Excellent analytical and
complex problem solving skills.Strong project management
skills.Ability to constructively work both independently and in
collaborative environments involving all levels of management and
employeesAbility to collaborate with internal and external service
providers to establish resource requirements, scheduling,
assignments and service levels.Ability to build internal and
external networks of information resources within the risk
management ecosystem.Understanding of BSA/AML and OFAC regulations,
regulatory expectations and industry leading practices.Licenses &
Certifications - Other Risk CertificationCompetencies:Collaboration
- Relationship Management:Proficient - Applying and ExecutingKnows
who to reach out to inside and outside of one's team to get work
doneTakes action to enhance working relationships needed to achieve
seamless work flow Collaboration - Teamwork:Proficient - Applying
and ExecutingCreates a good working environment in the team; works
towards shared goals contributing ideas and accepting
changeProvides assistance and coaches less experienced team members
Execution - Accountability:Proficient - Applying and
ExecutingFollows through to meet commitments to othersTakes
responsibility for achieving strong results, despite balancing
multiple complex demands Influence - Information Sharing:Proficient
- Applying and ExecutingUses information and data effectively to
support a position and present a rational case Influence - Two-way
communication:Proficient - Applying and ExecutingCommunicates in a
timely and straightforward mannerProbes for additional information,
clarifies assumptions and confirms agreed-upon actionsKeeps
everyone involved informed about progress and issues Risk Business
Acumen - Industry Acumen:Proficient - Applying and ExecutingStays
current with industry and regulatory trends and emerging risk
issuesHas good understanding of current market and competitive
landscape that the organization operates within Risk Management -
Knowledge of Risk Management Policies, Regulations, Processes and
Procedures:Proficient - Applying and ExecutingExecutes risk
management process and procedures without management direction, and
demonstrates awareness of expected resultsKnows the relationship
and impact of actions and resultsHas an understanding of
regulations impacting area supported Risk Management - Risk and
Compliance Adherence:Proficient - Applying and
ExecutingCommunicates the importance and benefits of risk
management to counterpartsDisplays natural skepticism and curiosity
to question the status quo and uncover issuesAdheres to a good root
cause analysis process Working Conditions:Frequently: Minimal
physical effort such as sitting, standing, and walking.Occasional
moving and lifting of equipment and furniture is required to
support onsite and offsite meeting setup and teardown.Physically
capable of lifting up to fifty pounds, able to bend, kneel, climb
ladders.Employer's Rights:This job description does not list all
the duties of the job. You may be asked by your supervisors or
managers to perform other duties. You will be evaluated in part
based upon your performance of the tasks listed in this job
description.The employer has the right to revise this job
description at any time. This job description is not a contract for
employment, and either you or the employer may terminate employment
at any time, for any reason.
Keywords: Santander Holdings USA Inc, Dallas , Associate, Business Control and Risk Management, Accounting, Auditing , Dallas, Texas
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