AWM Marketing Control Manager, Vice President

As a Control Manager within Asset Wealth Management (AWM), you will support the implementation and maintenance of Compliance Operational Risk Environment (CORE) framework for AWM Marketing.

You will collaborate with the business units to implement and maintain controls necessary to mitigate operational risks, which includes using a risk based approach to assess the control environment, partnering with the business to design effective controls, participating in controls testing and function as part of a team to provide oversight to ensure compliance with policies and standards.

You will also be responsible for working across diverse and cross-functional organizations to manage issues and develop plans, identify solutions, and drive continuous improvement through participation and/or ownership of key control initiatives, self-assessments and root cause analysis along with ongoing process review and control testing.

For this role, candidates must be able to physically work in either our Newark, DE, or Columbus, OH, offices full time according to the schedule determined and communicated by direct management.

Job Responsibilities


* Collaborate with senior business management and partners across AWM functional areas (e.g., Legal, Finance, Compliance, Risk, Regulatory Strategy, Regulatory Exam Managers (REM), Control Management) and geographies to share information and create synergies


* Help establish control governance and reporting to identify meaningful metrics to inform on health of operational risk and control environment; escalate control breaks based on key reporting indicators; and manage control committees and forums.


* Oversee completion of relevant CORE Governance deliverables and assessments such as Compliance and Operational Risk Summaries, Process Owner Reviews, and Quarterly MRI reviews.


* Maintain adherence to key Control Management standards (e.g.

CORE, Control Committee, Risk ID, Risk Acceptance, Legal Entity).


* Support setup and management of relevant FW Common Processes and associated risks and controls in CORE


* Review business procedures; ensure annual process reviews and attestations (e.g.

Business resiliency plan, Estimations/ User-Tool Inventory)


* Monitor metrics to facilitate management actions for breached metrics


* Participate in regular AWM Issue Review Forums with cross functional stakeholders to ensure consistent issue management practices.


* Support planning and employee engagement activities for AWM Controls


* Partner with AWM Control Managers as well as Firm wide Controls teams to ensure ongoing and effective CORE data quality, governance, reporting and drive continuous improvement.

Required Qualifications, Skills and Capabilities


* Bachelor's degree or equivalent experience required


* 7+ years of financial services experience in controls, audit, quality assurance, risk management, or compliance preferred


* Management experience preferred


* P...