Control AnalystBusiness Control Office Dallas, Texas
Summary of Responsibilities: Support the Santander Consumer (SC) Control Officer (CO) VP in ensuring that first line of defense (FLOD) Control function is appropriately engaged with aligned Business Partners, well executed, and remains aligned to SHUSA Issue Management Policies and Standards.
This position will be aligned to a functional team within the SC Operations Group. Under the direction and leadership of the Control Officer aligned to that function, this individual is responsible for ensuring appropriate engagement with Business Partners so the control framework is effectively executed and continuously enhanced to minimize impacts from all risks (e.g. Regulatory, Legal Customer, Financial, and Reputational).
This position’s focus is:
- Execute specific activities and support business line leadership in building, communicating and implementing the FLOD framework for all Operations activities and initiatives.
- Ensuring that the RCSA Framework is appropriately communicated and executed, and is structured to align to the current Business hierarchy. The framework strategy would be operations focused, but the role will partner with other FLoD functions to ensure consistency across SC.
- While this position is an individual contributor, each Control Analyst must partner with other Control functions to ensure a consistent FLoD execution.
- Identify, obtain approval, and execute enhancements to control framework to improve RCSA effectiveness and ensure an efficient control oversight.
Essential Functions: Support the development of FLOD Control procedures that proactively identify deficiencies in controls, procedures and compliance with respect to Operations group systems, internal policies, and laws and regulations.
Under the direction and leadership of the Control Officer aligned to that function:
- Assist line leadership in the identification and documentation of gaps and corrective action plans where applicable to assist departmental and organizational compliance efforts.
- Ensure that control framework is executed effectively, that all deliverables are executed timely, mitigate the risk completely and in a sustainable manner.
- As required, participate in complex projects and business initiatives in alignment with the organizations risk appetite and regulatory requirements.
- Support a specific FLOD Business for all action plans from all sources (e.g. Regulatory, Audit, Compliance, and Business Identified Issues)
- Partner with other FLoD Control functions to ensure consistency in strategies and execution, and the effective utilization of Staff Resources:
- Issue Management – ensure appropriate documentation is submitted to IM for intake and closure, and partner to ensure action plan results drive sustainability of controls. Work independently with Business Partners to validate evidence and ensure sustainability of controls.
- RCSA Testing – partner to ensure an effective testing execution, and that RCSA deficiencies resulting from Control Testing are appropriately remediated. Partner with Issue Management to ensure that ensuing action plans are appropriately executed to address deficiencies.
- Control Analytics – partner to ensure effective and timely reporting that supports the oversight and drives risk accountability.
- FLoD Governance and Strategies – partner to ensure effective execution of control forums and that Business partners are appropriately accountable for risks.
- Learning Development/Governance Oversight (GO) – engage and leverage to ensure an effectively engagement model for Business Control oversight and support.
- Provide remediation support as needed, specifically on ensuring that Business Controls are enhanced to ensure remediations are sustainable.
- Participate in activities and projects that build a Culture of Compliance within the organization.
- Develop and maintain strong relationships with the Operations Leadership team.
- Ensure all tasks are carried out with a high degree of professionalism and lead by example.
- Demonstrate ability to work as part of a team and train others on regulatory requirements.
- Special projects as requested.
- Performs other duties as assigned.
- Bachelor’s degree with business related focus strongly preferred.
- Five to seven year’s compliance and/or risk and control experience, preferably in the financial service industry, is the minimum expectation. Experience in Auto Finance is preferred but not required.
- Ability to interpret and understand legal documents, regulations and government legislation is required.
- Expert ability to set and balance short- and long-term priorities and remain focused within a rigorous, fast-paced and dynamic environment.
- Regulatory certifications preferred but not required.
- Excellent analytical, technical and problem solving skills, with strong attention to detail.
- High ethical standards.
- Strategic and tactical thinker
- Articulate and effective communicator with a proactive and ‘no surprise’ approach in communicating issues and strength in sustaining independent views.
- Strong written and verbal communication skills with ability to foster a collaborative working relationship with multiple functional and operational areas.
- Ability to adapt to various work environments, industries, and project schedules.
- Proven ability to build network quickly, influence others and effectively address audiences of all levels.
- Ability to maintain confidentiality.
- Extended working hours may be required as dictated by management and business needs.
- Travel to multiple facilities may be required, on occasion.
- May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
- May be required to sit and review information on a computer screen for long periods of time
- May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard
- Corporate / satellite office role would be considered.
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.