Newark, Delaware

Job Description:

The Tax Enterprise Oversight (EPO) Compliance & Operational Risk team is focused on supporting the Global Technology & Operations Control Function. This team consists of subject matter experts on specific processes, controls, laws, rules and/or regulations that have applicability across all aspects of global Client/Counterparty & Customer Tax, and Indirect Tax across all FLUs.

The Compliance and Operational Risk (C&OR) Manager is responsible for engaging in activities to provide independent compliance and operational risk oversight of Global Program Front Line Unit or Control Function ("FLU/CF") performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively "the Policies") and the Compliance and Operational Risk Management ("CORM") Program and Standard Operating Procedures (SOPs) as they relate to the Global Tax EPO scope. This individual will represent the Tax EPO covering Global functions (GBAM, GWIM, Consumer, et.al.) for all horizontal tax compliance and risk management processes. As a member of a CF C&OR officer team, the C&OR Manager is accountable for proactive identification, management and escalation of compliance and operational risks through the execution of some or all of the below identified activities. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CORM Program objectives, balancing business strategy with appropriate controls.

The C&OR Manager contributes to the requirements of the CORM Program requirements including, but not limited to the following activities:
  • Maintaining understanding and oversight of end-to-end tax related processes
  • Drive governance and compliance for Tax across the enterprise by defining the required guidelines and controls, monitoring and validation, thematic and root cause analysis and reporting. Elevate oversight and executive level accountability/engagement of Tax EPO
  • Produces and/or oversees the development of independent risk management reporting for respective area(s) of coverage as input governance and management routines
  • Provides subject matter expertise to assist the FLU/CF in establishing an annual learning plan, may be accountable for developing and delivering training content
  • Develops and maintains C&OR-owned policies and standards and/or provides oversight of FLU/CF-owned policies, standards and procedures to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable
  • Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, directs the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenges the implementation plan as needed; maintains a comprehensive regulatory inventory
  • Identifies, aggregates, reports, escalates, inspects and challenges remediation plans, and performs thematic analysis on FLU/CF-owned issues and control enhancements for tax related risks
  • Ensures C&OR "owned" issues and control enhancements are identified and addressed appropriately and timely
  • Contributes to or leads development of risk coverage plans, executes and / or oversees execution of independent risk monitoring, testing and risk assessments, communicates results
  • Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
  • Reviewing new business initiatives and products from a tax perspective, ensuring appropriate controls are built in up front to assure compliance and proper risk management
  • Reviews and challenges internal and external operational loss events, including development of remediation plans to strengthen controls, and approves where appropriate
  • Participates in Scenario Analysis activities for coverage areas and challenges as appropriate

Required Skills
  • Minimum Years of Business & Functional Experience: 7 Years
  • Minimum Years of Compliance and Risk Management Experience: 5 Years
  • Minimum Years of Transformational Project Leadership Experience: 2 Year
  • Degree Required: Bachelor's Degree
  • Able to independently lead complex global/horizontal projects and drive change with senior business and Compliance/Risk Management teams
  • Detail-oriented and ability to work in a fast-paced environment and under pressure


Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
--> Job Description:

The Tax Enterprise Oversight (EPO) Compliance & Operational Risk team is focused on supporting the Global Technology & Operations Control Function. This team consists of subject matter experts on specific processes, controls, laws, rules and/or regulations that have applicability across all aspects of global Client/Counterparty & Customer Tax, and Indirect Tax across all FLUs.

The Compliance and Operational Risk (C&OR) Manager is responsible for engaging in activities to provide independent compliance and operational risk oversight of Global Program Front Line Unit or Control Function ("FLU/CF") performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively "the Policies") and the Compliance and Operational Risk Management ("CORM") Program and Standard Operating Procedures (SOPs) as they relate to the Global Tax EPO scope. This individual will represent the Tax EPO covering Global functions (GBAM, GWIM, Consumer, et.al.) for all horizontal tax compliance and risk management processes. As a member of a CF C&OR officer team, the C&OR Manager is accountable for proactive identification, management and escalation of compliance and operational risks through the execution of some or all of the below identified activities. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CORM Program objectives, balancing business strategy with appropriate controls.

The C&OR Manager contributes to the requirements of the CORM Program requirements including, but not limited to the following activities:
  • Maintaining understanding and oversight of end-to-end tax related processes
  • Drive governance and compliance for Tax across the enterprise by defining the required guidelines and controls, monitoring and validation, thematic and root cause analysis and reporting. Elevate oversight and executive level accountability/engagement of Tax EPO
  • Produces and/or oversees the development of independent risk management reporting for respective area(s) of coverage as input governance and management routines
  • Provides subject matter expertise to assist the FLU/CF in establishing an annual learning plan, may be accountable for developing and delivering training content
  • Develops and maintains C&OR-owned policies and standards and/or provides oversight of FLU/CF-owned policies, standards and procedures to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable
  • Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, directs the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenges the implementation plan as needed; maintains a comprehensive regulatory inventory
  • Identifies, aggregates, reports, escalates, inspects and challenges remediation plans, and performs thematic analysis on FLU/CF-owned issues and control enhancements for tax related risks
  • Ensures C&OR "owned" issues and control enhancements are identified and addressed appropriately and timely
  • Contributes to or leads development of risk coverage plans, executes and / or oversees execution of independent risk monitoring, testing and risk assessments, communicates results
  • Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
  • Reviewing new business initiatives and products from a tax perspective, ensuring appropriate controls are built in up front to assure compliance and proper risk management
  • Reviews and challenges internal and external operational loss events, including development of remediation plans to strengthen controls, and approves where appropriate
  • Participates in Scenario Analysis activities for coverage areas and challenges as appropriate

Required Skills
  • Minimum Years of Business & Functional Experience: 7 Years
  • Minimum Years of Compliance and Risk Management Experience: 5 Years
  • Minimum Years of Transformational Project Leadership Experience: 2 Year
  • Degree Required: Bachelor's Degree
  • Able to independently lead complex global/horizontal projects and drive change with senior business and Compliance/Risk Management teams
  • Detail-oriented and ability to work in a fast-paced environment and under pressure


Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
Job Description:

The Tax Enterprise Oversight (EPO) Compliance & Operational Risk team is focused on supporting the Global Technology & Operations Control Function. This team consists of subject matter experts on specific processes, controls, laws, rules and/or regulations that have applicability across all aspects of global Client/Counterparty & Customer Tax, and Indirect Tax across all FLUs.

The Compliance and Operational Risk (C&OR) Manager is responsible for engaging in activities to provide independent compliance and operational risk oversight of Global Program Front Line Unit or Control Function ("FLU/CF") performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively "the Policies") and the Compliance and Operational Risk Management ("CORM") Program and Standard Operating Procedures (SOPs) as they relate to the Global Tax EPO scope. This individual will represent the Tax EPO covering Global functions (GBAM, GWIM, Consumer, et.al.) for all horizontal tax compliance and risk management processes. As a member of a CF C&OR officer team, the C&OR Manager is accountable for proactive identification, management and escalation of compliance and operational risks through the execution of some or all of the below identified activities. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CORM Program objectives, balancing business strategy with appropriate controls.

The C&OR Manager contributes to the requirements of the CORM Program requirements including, but not limited to the following activities:
  • Maintaining understanding and oversight of end-to-end tax related processes
  • Drive governance and compliance for Tax across the enterprise by defining the required guidelines and controls, monitoring and validation, thematic and root cause analysis and reporting. Elevate oversight and executive level accountability/engagement of Tax EPO
  • Produces and/or oversees the development of independent risk management reporting for respective area(s) of coverage as input governance and management routines
  • Provides subject matter expertise to assist the FLU/CF in establishing an annual learning plan, may be accountable for developing and delivering training content
  • Develops and maintains C&OR-owned policies and standards and/or provides oversight of FLU/CF-owned policies, standards and procedures to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable
  • Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, directs the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenges the implementation plan as needed; maintains a comprehensive regulatory inventory
  • Identifies, aggregates, reports, escalates, inspects and challenges remediation plans, and performs thematic analysis on FLU/CF-owned issues and control enhancements for tax related risks
  • Ensures C&OR "owned" issues and control enhancements are identified and addressed appropriately and timely
  • Contributes to or leads development of risk coverage plans, executes and / or oversees execution of independent risk monitoring, testing and risk assessments, communicates results
  • Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
  • Reviewing new business initiatives and products from a tax perspective, ensuring appropriate controls are built in up front to assure compliance and proper risk management
  • Reviews and challenges internal and external operational loss events, including development of remediation plans to strengthen controls, and approves where appropriate
  • Participates in Scenario Analysis activities for coverage areas and challenges as appropriate

Required Skills
  • Minimum Years of Business & Functional Experience: 7 Years
  • Minimum Years of Compliance and Risk Management Experience: 5 Years
  • Minimum Years of Transformational Project Leadership Experience: 2 Year
  • Degree Required: Bachelor's Degree
  • Able to independently lead complex global/horizontal projects and drive change with senior business and Compliance/Risk Management teams
  • Detail-oriented and ability to work in a fast-paced environment and under pressure


Shift:
1st shift (United States of America)

Hours Per Week:
40
Learn more about this role

Newark, Delaware

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