Regulatory & Change Management Governance - Quality Assurance Associate

Description Internal

The Strategic Growth Office (SGO) Asset Wealth Management (AWM) and Consumer & Community Banking (CCB) Regulatory & Change Management Governance (RCMG) group is responsible for the execution of the Program Management including Quality Assurance for the Office of LegalObligation (OLO) firmwide global initiative. This program brings together the expertise of Legal Lines of Business (LOBs) Oversight & Control Compliance Risk and other key control functions to proactively manage regulatory changes in our operations and allow traceability of the endtoend connections between laws rules and regulations and the policies procedures and systems that demonstrate compliance.

Job Summary

As a Quality Assurance Associate within the Regulatory & Change Management Governance group you will play a crucial role in the execution of Program Management including Quality Assurance for the Office of Legal Obligations global initiative. Your responsibilities will include active collaboration with diverse teams such as Legal Lines of Business Oversight & Control Compliance Risk and other key control functions to proactively manage regulatory changes in our operations. This role provides a unique opportunity to contribute to the successful implementation of the Office of Legal Obligations program and support associated testing.

Job Responsibilities

• Provide OLO program support through partnership with the AWM & CCB Program Team to ensure the integrity of the obligation mapping negative confirmation and Regulatory Event Notification (REN) reviews in Enterprise Library Application (ELA) the System of Record.
• Build and maintain excellent relationships with internal partners and colleagues.
• Participate in additional assignments (UAT creating and executing training) for candidates with suitable project management skills and experience.
• Perform QA sample testing to predefined test scripts on a quarterly basis.
• Identify issues that could result in a potential failure or a recommendation to the LOB.
• Track LOB issue remediation items to completion and provide LOB reporting.
• Perform horizontal testing across SubLOBs to identify potential inconsistencies in mapping to obligation.
• Document any best practices identified as a result of testing.
• Produce and maintain QA reporting for communication to Senior Management and LOB Partners.
• Foster a culture of collaboration and information sharing for efficient execution; build strong relationships with internal clients.

Required qualifications capabilities and Skills:

• Bachelors degree background in Risk Management Controls Compliance and/or Audit
• Ability to understand and interpret Legal documents and Operational procedures
• Strong analytical and problemsolving skills. Proactive approach to problem solving owning the issues and having the determination to follow through on tasks /issues
• Strong communications and interpersonal skills; ability to build consensus and history of success working in a team environment
• Ability to articulate complex issues concisely and communicate effectively and comfortably at all levels
• Flexibility to handle multiple tasks and changing priorities and monitor tight deadlines or unexpected requirement changes
• Questions the efficiency and effectiveness of existing departmental systems/processes and suggests alternative approaches to ensure continual improvement
• Ability to operate in a collaborative and cooperative environment and must possess the strong interpersonal skills necessary to work effectively with colleagues at various levels of the organization
• Strong Technical skills (SharePoint PowerPoint Excel functions including pivot tables charts and embedded queries)
• Ability to draft Procedures / Job Aids to accommodate new / existing processes
• Adapts well to increasing scope and complexity of work brought on by business growth