Senior Analyst Data Quality & Assurance - Audit and Controls

The Operational Control department is a global team aligned to support the control and data quality assurance activities for Information Services Group (ISG) operations and technology. Main areas of interaction include:

• Accounts Control Group (ACG)
• Client Onboarding Services (COS)
• Entity Data Management (EDM)
• Know Your Customer (KYC)
• Regulatory Legal Analytics Unit (RLAU)
• Risk and Control (R&C)
• Securities and Pricing (S&P).

Job Purpose

The candidate will form part of a global team focused on operational data quality assurance and operational controls working in collaboration with the existing ISG Operational Control function and ISG Operations & Technology teams and management structures to ensure an effective control environment. This will incorporate target reviews, mapping business processes, and performing sample testing. This resource will face off directly with the business, technical, and operational teams to document the end-to-end process during EMEA and NAM working hours.

This is an important role, reflective of the increasing criticality of strong risk and control focus within a large operations organisation such as ISG.

Key Responsibilities:

Operational Data Quality and Assurance

• Perform Targeted / proactive process reviews - assist with completion of regional or global control reviews of high risk or key regulatory processes/functions across the ISG Operations teams and manage design/operational effectiveness testing of processes.
• Perform walkthroughs and view a process firsthand to evidence the process prior to documenting
• Capture key process attributes, such as process participants/contributors, systems, process exceptions, use of end user computing tools/models, controls, and key activities in documented process flows
• Perform both process design and execution testing to identify process gaps
• Controls Reporting oversight - ensure that all key controls are included in MCA process and confirm the veracity of MCA testing in line with how the process operates.
• Recommend appropriate and pragmatic solutions to operational data quality assurance risk and control issues
• Create action plans for gaps
• Identify opportunities for process improvements and efficiencies
• Issue Remediation - ensure that all issues noted through pro-active review are tracked through appropriate forums (Issues, Corrective Actions and milestones) inclusive of self-identified (IBAM), regulatory or audit issues and recommending suitable solutions/ of Corrective Action Plans (CAPs);
• Understand critical requirements of Citi policy/procedure/standards and regulatory requirements
• Communicate with key stakeholders and process subject matter experts to identify key processes and map from requirement/policy to process to control
• Document and maintain process flows in alignment with E2E Process Framework and account for required attributes.
• Ensure E2E Process Flow Framework Standards and governance requirements are met.
• Development of presentation materials and delivery of final process mapping and review reports across key stakeholders, participants, and levels.

Leadership

• Projects - lead and assist on regional or global quality assurance and operational control related projects
• Innovation - develop methods to make the Operational Quality Assurance function more efficient and ensure local processes are considered in global initiatives.
• Use communication skills to influence a wide range of internal audiences including product, function, or regional executive management partners
• Presentations - Be confident at presenting open issues on the right forums for Operational quality assurance and controls projects for regional and global partners/ leaders.
• Relationship Management - Develop strong partnerships within the ISG Operations & Technology groups, as well as other organizations supporting ISG activities (IA, Compliance, etc.)

Knowledge/Experience

• 3 to 5 years of experience with working with a large, global organization
• Financial services experience in an operations environment and awareness of the related operational controls
• Experience in business and process analysis
• Experience in managing projects or leading large initiatives
• Knowledge of the ISG Operations processes or reference data is an advantage.
• Internal Audit or Compliance Assurance related experience is a plus

Skills

• Excellent written and verbal communication skills and aptitude in communicating with senior management
• Strong analytical and interpretation to effectively translate process data into the larger control framework and identify issues/ control breaks
• Highly skilled and good knowledge of process mapping tools such as MS Visio and Blueworks
• Creative, innovative, dynamic, high energy levels with strong initiative.
• Strong analytical and time management skills, excellent attention to detail
• Proven success in a team environment and willingness to help team achieve goals.
• Able to plan and organize several initiatives to deadlines; ability to prioritise work streams pragmatically and flexibly.
• Ability to proficiently use MS Office products, particularly Outlook, Power point, and Excel.

Competencies

• Able to interact with Auditors, Compliance, and Independent Controls Groups and to have the ability to influence & negotiate.
• Ability to build strong relationships at various level.
• Ability to work to tight deadlines as part of a team.
• Willing to be involved in all aspects of a task.
• Exhibit good attention to detail while focused on delivery.
• Ability to work on several initiatives concurrently and cope with changes in priorities.

Qualifications

• A business-related degree would be advantageous, however less relevant than extensive 'in situ' experience
• Further banking or operational related qualifications would be beneficial

Job Family Group:
Operations - Services

Job Family:
Reference Data Management

Time Type:
Full time

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