Analyst, Operational Risk and Quality Control

at  CIBC Mellon

COMPANY INFORMATION:

CIBC Mellon is a leading provider of asset servicing solutions to institutional investors in Canada, including multi-currency accounting, fund valuation, and investment information reporting. We are passionate about providing exceptional client service backed by our culture of innovation and success. Our outstanding employee experience will provide you with opportunities to learn and grow professionally while supporting the communities in which you live and work.
We are a diverse and dynamic workplace where employees take an active role in delivering on strategic objectives while advancing their individual career goals. We encourage innovative thinking and give our employees the support and resources they need to turn great ideas into actions.
We’re always looking for talented people who can make a meaningful difference for our clients, our company and our communities. To learn more about why our employees love coming to work each day, visit www.cibcmellon.com/experience.

POSITION OVERVIEW:

Operational Risk and Quality Control Analyst is responsible for quality control trending and analysis, risk self-assessment planning and execution, coordination of all internal and external audits and documentation retention officer responsibilities in support of Recordkeeping and Pension Benefits Team.

QUALIFICATIONS:

• Community college degree
• 3-5 years progressive experience in the financial services industry
• Related knowledge of Recordkeeping business processes
• Thorough knowledge of the mutual fund industry

• Using available reporting tools per business unit such as dCCM and PIN , to provide trending reports for tracking consistent or recurring errors in order to recommend changes to supervisors and managers so that corrective measures can be taken
• Using DCCM and Pensioner Information Network reporting, assists with End of Day Monitoring , SLA dashboards, ensuring all transactions are processed according to SLAs
• Analyses errors, near misses and significant events (OREs) to identify root causes; ensures the development and implementation of appropriate controls
• Ensures OREs are completed according to corporate policy, for volume tracking and reporting to management
• Works with Supervisor ,Corporate Risk & Compliance and Operational Control teams to manage the planning, scheduling and execution of Recordkeeping and Pension Benefit Teams Risk Self-Assessment Program including providing support, assistance and training to business unit management to ensure timely and accurate completion of all documentation
• Help to manage and coordinate other related internal control functions as required by the business unit
• Coordinates with Operational Control for Recordkeeping and Pension benefits SOC audit planning, fieldwork, reporting, and status tracking
• Supports any external Recordkeeping and audit inquiries and liaises with client auditors, tracks Internal Audit findings, documents progress made on resulting action items for timely resolution
• Interfaces with Operational Control to ensure timely responses to inquiries on the control breaks
• Maintains RK and Pension Benefit Record Retention Schedule and Team’s adherence to the corporate Policy and Procedures
• Participate and host in relevant risk and control meetings to support Supervisor