<p>We are seeking experienced Control Testing professionals to join our Corporate & Investment Bank (CIB) Markets Operations organization. This role focuses on <strong>SOX and operational control testing</strong>, evaluating the design and effectiveness of controls executed by Operations teams across multiple lines of business within Markets and Payments. <strong>This role is 5 days on site.</strong></p><p><br></p><p>The ideal candidate brings a strong combination of <strong>control testing expertise, operational banking knowledge, and sales & trading product understanding</strong>. This is <strong>not a technical testing role</strong>; rather, it is focused on assessing whether operational controls are designed appropriately, executed effectively, and mitigating risk as intended.</p><p><br></p><p>Senior-level hires may also be responsible for <strong>team oversight, stakeholder management, and governance escalation</strong>.</p><p><br></p><p>Key Responsibilities</p><ul><li>Execute and/or oversee <strong>SOX and operational control testing</strong> across Markets and Payments Operations within the CIB</li><li>Assess the <strong>design and operating effectiveness of controls</strong> run by Operations teams across multiple business lines</li><li>Perform testing on controls related to:</li><li>Daily reconciliations and break management</li><li>Fund transfers and payment controls</li><li>NFA and regulatory checks</li><li>Call box controls, queues, dashboards, and monitoring processes</li><li>Design, document, and maintain <strong>testing scripts and procedures</strong> in accordance with the firm’s control framework</li><li>Review written procedures to assess <strong>risk coverage, control intent, and adequacy of mitigation</strong></li><li>Validate that controls are performed within established <strong>SLAs</strong>, including timely escalation of aged breaks and issues</li><li>Partner closely with Operations, Sales & Trading, Risk, and Governance teams to discuss findings and remediation</li><li>Lead walkthroughs, testing discussions, and stakeholder calls with <strong>clear executive presence and communication</strong></li><li>Escalate control deficiencies and themes to governance committees as required</li><li>(Senior/VP level) Manage or mentor junior testers and support team growth initiatives</li></ul>

<p>Required Qualifications</p><ul><li><strong>5–10+ years of experience</strong> in control testing, SOX testing, internal audit, or operational risk within a large financial institution</li><li>Demonstrated experience testing <strong>operational controls</strong> (not IT or technical controls)</li><li>Strong understanding of <strong>bank operations</strong>, including front office vs. back office functions</li><li>Hands-on experience with <strong>reconciliations, payment processing, fund transfers, and operational workflows</strong></li><li>Proven ability to <strong>design, execute, and document control testing scripts</strong></li><li>Excellent written and verbal communication skills, including the ability to document issues clearly</li><li>Ability to manage multiple testing activities simultaneously and meet deadlines in a high-volume environment</li></ul><p>Preferred Qualifications</p><ul><li><strong>Sales & Trading / Markets product knowledge</strong></li><li>Understanding of the <strong>trade lifecycle</strong> (trade booking, confirmation, settlement)</li><li><strong>FINRA Series 7</strong> or familiarity with licensed back-office functions</li><li>Background as a <strong>former auditor, SOX tester, or internal controls professional</strong></li><li>Experience working within <strong>CIB, Markets, or Payments</strong> organizations</li><li>Proficiency in <strong>Excel</strong> and data analysis tools such as <strong>Alteryx</strong></li><li>Prior experience leading teams or acting in a <strong>manager/VP-level capacity</strong></li></ul><p>Success Traits</p><ul><li>Strong attention to detail with a risk-based mindset</li><li>Ability to read, interpret, and challenge procedures and control documentation</li><li>Confident leading discussions with senior stakeholders</li><li>Comfortable working onsite in a collaborative, fast-paced banking environment</li><li>Willingness to flex hours occasionally to meet critical deadlines</li></ul>

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