3 Risk Escalation Jobs

Interprets the study protocol. Design and update the eCRF. Create and update Edit Specification Document. Generate specifications for EDC build components (e.g., Rights and Roles, System Settings and Home Page) Complete the Study Authorization Form and Trial Capacity Request Form (InForm) Attend the Pre-Design Meeting, Online Screen Review Meeting, Unblinded Data review meeting. Attend and present comments at the Internal Design Review Meeting. Facilitate the internal Edit Specification Review Meeting and leads the discussions regarding the Edit Specification Document. Design the database to collect LLRR data within the InForm database and ensure Rights and Roles document has appropriate access for Entry and Updates. Communicate any project risks to the Data Team Lead, including the potential for missing a timeline in the Data Management Project Plan. Escalate potential quality issues. Ensure the completion and documentation of all project-specific training, as well as staying current with required Standard Operating Procedures. Reviews build timelines and provide input as applicable. All responsibilities are essential job functions unless noted as nonessential (N). Qualifications Bachelors Degree Bachelor in Science/Computer science/Information Technology or Bachelor in Technology Req

The IT Regulatory Reporting Governance team provides an essential 24x7 service to manage IT regulatory reportable events related to IT incidents. The team is responsible for coordinating with IT stakeholders to assess, classify and ensure timely and accurate reporting to regulators. The team operates with a high level of expertise and coordination to manage the complex regulatory landscape effectively. A significant portion of the team's work involves ensuring compliance with the European Supervisory Authority (ESA) Digital Operational Readiness Act (DORA), which sets a new standard for regulatory reporting. However, the team's scope extends beyond DORA to include support for additional regulatory requirements including but not exhaustive of MAS, FSS, US Regulators, US Fed, FSA, HKMA. The IT Regulatory Reporting Governance Coordinator will play a vital role in supporting the operational execution of the IT Regulatory Reporting process. This position involves assessing and classifying incident data to identify events that may require regulatory reporting, as well as preparing and submitting accurate regulatory reports. Additionally, the role includes providing oversight and conducting four-eye checks to ensure the accuracy and completeness of these reports. The IT Regulatory Reporting Governance Coordinator will also be responsible for identifying potential service improvements and associated risks, contributing to the overall efficiency and effectiveness of the reporting process. This role is integral to ensuring Deutsche Bank meets its regulatory obligations efficiently and effectively, while also supporting continuous improvement and risk management within the regulatory reporting process. Your key responsibilities Executing the regulatory reporting process in adherence with all Deutsche Bank charters, policies, key operating procedures, and key operating documents Performing initial assessment and classification of data to support the identification of potential regulatory reportable events and preparing draft reports Preparation and responsibility for the submission of accurate regulatory reports to the Regulator Oversight/Four-eye checks to ensure the accuracy and completeness of regulatory reports Identifying risks related to regulatory compliance, support processes and controls, ensuring escalation where required Contributing to continual service improvements Undertaking reporting activities to support monthly service reports Participating in OnCall/Weekend/Bank Holiday working where required Your skills and experience Essential Excellent communication skills, both written and verbal Essential Effective team collaboration and interpersonal skills Essential Ability to work well under pressure and meet tight deadlines Essential Demonstrable experience in financial reporting, preferably within a regulated industry Essential Ability to extract and analyse data with attention to detail to identify if regulatory reporting triggers have been reached Essential An ability to navigate ambiguity Desired People Management experience Desired An understanding of Incident & Problem Management processes Desired Awareness of IT regulations applicable to financial institutions

About this role: Wells Fargo is seeking a Lead Control Management Officer. In this role, you will: Lead complex initiatives designed to mitigate current and emerging risks with broad impact Act as key participant in monitoring, evaluating, and measuring the impact of decisions practiced in Control Management functional area Monitor moderately complex business specific programs, and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area Develop and implement risk monitoring and risk reporting processes and controls Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations, and provide guidance in developing and implementing risk-mitigating strategies Lead Control Management project or virtual teams Required Qualifications: 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience in assessing risk, reviewing risk ratings, and identifying control deficiencies. Adaptable to a dynamic work environment with multiple priorities and strict timelines and able to organize for responsiveness and efficiency Proven ability to work within a team environment as well as individual accountability Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment. Propensity to deliver high quality output Ability to synthesize data from a variety of sources and deliver results quickly. Novice negotiation skills includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary. Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls; additional experience analyzing business and/or systems changes to determine impact. Familiar with various quality assurance techniques, issue verification frameworks and role of issue oversight, Audit, or internal controls assessment experience Understanding of US banking regulatory requirements. Applies product/domain knowledge to improve/add value to the processes, Line of defense Structure Experience working in a matrixed environment and the ability to effectively manage and build relationships Ethical integrity and demonstrated ability to identify risks and confidently raise issues, escalate early and engage in constructive challenge, doing so independently Leadership and project management skills to drive alignment across stakeholder groups to develop and deliver repeatable end to end risk management solutions and controls aligned with business/customer processes Job Expectations Risk Identification Support: Perform process walk throughs to identify and raise self-identified issues and heighten Issue Management discipline in the frontline. Facilitate participate in workshops for aligned business verticals or trigger events in BAU, Review and Challenge Board prep, Suite of Controls reviews post workshop and day to day in BAU, Conduct NBI Review, Day-to-day contact for business or enterprise function Issue Management Support: Conduct periodic issue meetings with business partner(s) inclusive of designed strategy to remediate issues which garner residual risk reduction, Review and approve PVCs, issues, CAs, ISMs and tollgate documents, Conduct thematic analysis across assigned vertical as well as with peers, Facilitate Tollgates, Review issue status updates Transition Control Related Reviews: Perform reviews on transitions per Transition Framework, Controls opinion/acknowledgement, Second-line engagements etc. Risk Control Self-Assessment (RCSA): Provide Control support for GDA Mapping for IP Legal Entities in partnership with the RCSA program team. Control Design Evaluation: Assesses controls to ensure appropriately mitigates risk, Partners with BG/EF to appropriately design controls and QA/QC monitoring activities, Partner with business process owners in process and control design Control Council Routine: Support the Control Council and help build stronger accountability and ownership in the control environment Governance Reporting Routines: Establish Controls governance/reporting routines to provide Risk Controls landscape view and escalate issues as appropriate. Identify emerging risks or escalations that require Risk Control Committee review, Provides root cause analysis and plans actions for breaches of defined reporting triggers, Partners with BG/EF leaders to develop Risk Control Governance Committee and forum materials/discussion items, Participates in the BG/EF design of key metrics to oversee business risk, Facilitate other front-line governance activities Control Programs: Executes against the requirements of enterprise Control Programs as set forth in Policy and by the Control Programs team, Partner with business process owners to execute risk program execution (e.g., annual assessment of KRIs) Advisory role: Provide input into enterprise policies and procedures, Key business initiatives and continue to engage in Risk control management discussions with the LOB Functions, Business partners and Operations Create SSIS packages and SQL Server stored procedures based on new requirements and translated from existing SQL/SAS code Promote SSIS packages, stored procedures and tables from Dev to UAT to Prod by submitting Change Requests in ServiceNow and working them through to completion Assess specific data risks as they relate to governance, storage, and movement to the practices of the first-line of defense Be an integral part of implementing a fully integrated analytics and reporting infrastructure to support the group and leverage resources for multiple, on-going activities/initiatives Create tools and methodologies to deliver clear, consistent risk management and market conduct messaging Support the design and implementation of front-line Market Conduct risk and control reporting across all regions, ensuring consistent standards and aggregation of reports at the legal entity, country and regional levels Microsoft Power BI SAS/SASGrid Oracle SQL Developer Microsoft SQL Server Management Studio Teradata Studio Microsoft Excel/Pivot Tables Working with APIs and JSON files SQL ETL Experience EREG Data (Enterprise Registrations Insurance and Licensing) CSCS Data (Compliance Supervisory Control System) Workday Data Strong analytical skills Attention to detail and accuracy