Manager, Risk Management- Horizontal Audit Job at Capital One (Plano)

Senior Internal Auditor Asset Management

The mission of the Internal Audit department is to provide AllianzAM entities wi...

Location

United States , New York

Salary:

100000.00 - 130000.00 USD / Year

Allianz

Expiration Date

Until further notice

Requirements

Minimum 7 years professional experience in internal/external audit or as a consultant or equivalent in finance related functions and asset management or corporate governance related topics
Minimum 3 years of applicable work experience, preferably in Internal Audit, Risk Management or Compliance, within an Asset Management company, division of other financial institution, or in public accounting covering Asset Management clients and experience with SSAE 16 engagements
Good understanding of products in the field
Good analytical, critical thinking and problem-solving skills
Very good communications and presentation skills as well as strong interpersonal skills, including the ability to challenge
Ability to work well within a matrix organization while being a consensus builder and team player
Cultural skills and sensitivities necessary to work effectively in a global organization
Outstanding organizational and time management skills with the ability to manage multiple assignments and projects with varying deadlines
Strong IT skills / Advanced PowerPoint and Excel skills
Willingness to travel

Job Responsibility

Build and maintain relationships as key audit partner with business area management to effectively provide audit support and internal controls expertise
Conduct business and integrated audits as well as first consulting services designed to assess and improve operations within the entire Asset Management business
Manage various aspects of an audit, including planning audits and identifying potential weaknesses and risks to the Audit Lead
Develop parts of the audit work programs and conduct audit fieldwork, including documenting processes and procedures, establishing testing approach, reviewing and analysing documentation, and identifying and documenting process and control issues
Formulate clear and concise audit findings, reflect on deficiencies identified during audit fieldwork, related risk impact and make suggestions on practical recommendations to mitigate risk
Help to conduct an annual audit risk assessment for certain specific areas within the operational entities, deriving recommendations for the subsequent year’s annual audit plan
Perform follow-up activities to evaluate the sufficiency and timeliness of management responses and corrective action taken in response to audit recommendations
Implement computer-assisted audit techniques (CAATs) to support audit engagements
Build data analytic procedures to efficiently test complete populations and support the implementation of data visualization tools to understand the significance of data by placing it in a visual context and detect patterns, trends and correlations
Share data analytics best practices both horizontally and vertically throughout the organization and its various locations

What we offer

Work flexibly according to internal guidelines (e.g., hybrid model/ flexible working hours)
Access to pension/ savings plans/ Allianz products
Company share purchasing plan
Mental health and wellbeing programs
Career opportunities within the entire Allianz Group
Comprehensive learning and development offerings, including certifications and professional qualifications

Fulltime

Vice President, Business Risk Officer

Citi’s Wealth Control organization enables to achieve sustainable client-driven ...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

University graduate with at least 8-10 years of experience with strong strategic, analytical and product management skills
Must have exposure to 3-4 years of Risk, Control, Audit or Compliance roles
Working-level knowledge of core end-to-end processes performed in the Consumer and Private Bank business
Prior experience and exposure in Investment Products across Capital Markets and Manage Investments
Experience with governance, risk and control management, risk approvals, as well as engaging with 2nd/3rd lines of defense
Understanding / familiarity with new product development (e.g. first and second line of defense risk/control mechanisms
Ability to move from granular detail to strategic level, with effective executive presentation skills
Comfortable operating with limited guidance and under significant time pressure

Job Responsibility

Proactively work with Investment Products teams across Capital Markets and Managed Investments on identifying risks in existing process and mitigate through appropriate controls
Working with countries and product teams to continuously evaluate and drive the maintenance of the regulatory inventory linkage in supporting controls in Citi’s system
Work with ICRM and key stakeholders from business on implementation of Regulatory changes involving gap analysis of regulatory change vis-vis current process in CRC system
Supporting the business in review of Product Programs, Desktop Procedures across Capital Markets and Manage Investments to identify risks in current process
Assess each new product or process rolled out have effective controls embedded as part of the process
Work with global controls team in managing RNDIP Coordination across CG/CPC and Private Bank for inclusion of agenda items in respective BRCMs
Assess the effectiveness of existing controls through horizontal process-based reviews out of lesson learned activity on internal events or external events faced by industry
Actively collaborating with business to identify, evaluate, and manage regulatory adherence risks arising from the definition of business strategy, development of new products and services, changes in regulations or internal policies, or from business-led changes
Developing strong relationships with Business, Operations & Technology and partners in 2nd and 3rd line of defense to reduce and mitigate regulation risk
Engage with stakeholders in designing Issues and CAPs with control owners to mitigate the risk including overseeing its completion on time

What we offer

Access to telehealth options, health advocates, confidential counseling
Programs and services for physical and mental well-being
Financial well-being programs and future planning assistance

Fulltime

Senior Manager - Control Management

The objective of the Credit & Fraud Risk Control Management Process Risk Reducti...

Location

United States , New York

Salary:

103750.00 - 174750.00 USD / Year

Amex

Expiration Date

Until further notice

Requirements

3+ Years experience in operational risk management (e.g., within Risk and/or Internal Audit function) Understanding of critical operational risk management lifecycle activities
Proficient analytical and problem-solving skills, with an ability to analyze data, identify trends, and evaluate risk scenarios effectively
Strong project management, communication, and interpersonal skills
Experience in process governance, with an understanding of processes that align with policies, regulatory frameworks, and/or operational standards

Job Responsibility

Manage the implementation of a comprehensive process risk reduction strategy
Facilitate alignment of risk reduction initiatives with the organization's overall risk management framework and business objectives
Provide insights on process risk issues and mitigation strategies
Support identification and prioritization areas within BU processes that require risk reduction measures (e.g., assist in coordinating across First Line of Defense (1LoD) risk identification team)
Execute on process risk reduction, leveraging enterprise support as needed to ensure timely resolution of vertical and horizontal (i.e., within BU or across processes that extend beyond the BU) issues that are of highest priority and/or most significant impact to the enterprise
Assist in conducting independent root cause analyses focused on identifying underlying process vulnerabilities to prevent potential Operational Risks (ORs), with a focus on the most common or high-risk issues and/or losses, based on comprehensive methodology (e.g., comprehensive risk-based prioritization) to prevent recurrence, and inform control design/ enhancement
Support BU with design of controls and processes, including modifications to enhance processes/controls to improve proactive risk mitigations
Document control design effectiveness and help address thematic control gaps across processes/products
Provide independent support for resolution of high-risk issues, and conduct independent testing of issues to ensure complete & effective resolution
Monitor and track the implementation of process changes, ensuring they are effective in reducing risk and align with the risk appetite

What we offer

Competitive base salaries
Bonus incentives
6% Company Match on retirement savings plan
Free financial coaching and financial well-being support
Comprehensive medical, dental, vision, life insurance, and disability benefits
Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
Free and confidential counseling support through our Healthy Minds program
Career development and training opportunities

Fulltime

Assessment & Design Lead Analyst

Assessment & Design Lead Analyst (Vice President) role in Citi's Wealth Control ...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

University graduate
At least 8-10 years of experience with strong strategic, analytical and product management skills
Must have exposure to 3-4 years of Risk, Control, Audit or Compliance roles
Working-level knowledge of core end-to-end processes performed in the Consumer and Private Bank business
Prior experience and exposure in Investment Products across Capital Markets and Manage Investments
Experience with governance, risk and control management, risk approvals, as well as engaging with 2nd/3rd lines of defense
Understanding/familiarity with new product development (e.g. first and second line of defense risk/control mechanisms)
Ability to move from granular detail to strategic level, with effective executive presentation skills
Comfortable operating with limited guidance and under significant time pressure

Job Responsibility

Proactively work with Investment Products teams across Capital Markets on identifying risks in existing process, evaluate adequacy of controls and mitigate through enhancement of controls
Actively work with Control Owners to map all Key Inherent Risk Process and existing including enhanced Controls in Control Inventory
Evaluate any issues identified through Escalation Mechanism, Customer Complaint, Operation Loss, Internal and External review to understand the impact to existing process and control framework
Supporting the business in review of Product Programs, Desktop Procedures across Capital to identify risks in current process
Act as Accountable Functionable Reviewer and assess each new product or process rolled out have effective controls embedded
Working with Sales & Advisory and Investment Product teams to continuously evaluate and drive the maintenance of the regulatory inventory linkage
Lead the engagement with Product on ensuring Audit Readiness including leading the targeted reviews
Assess the effectiveness of existing controls through horizontal process-based reviews
Actively collaborating with business to identify, evaluate, and manage regulatory adherence risks
Developing strong relationships with Business, Operations & Technology and partners in 2nd and 3rd line of defense

What we offer

Access to telehealth options
Health advocates
Confidential counseling
Programs and services for physical and mental well-being
Financial well-being programs
Career growth opportunities

Fulltime

Senior Compliance Sanctions Officer

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...

Location

Ireland , Dublin

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise of Global Sanctions regulations, risks and typologies, including restrictive measures imposed by the OFAC, the OFSI and the European Commission
Broad knowledge of global capital markets products
Understanding of securities services and trading
Knowledge of securities settlements processes and transactions flows
Ability to clearly communicate with business heads providing credible challenge in difficult situations
Expertise of Compliance laws, rules, regulations, risks and typologies and interpretations of the regulations
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

Job Responsibility

Provide sanctions guidance to Citi's Markets Businesses transacting in Global Capital Markets products
Provide sanctions oversight of in business controls and review in-flight and proposed transactions involving capital markets products
Executing and implementing firm-wide sanctions risk management policy as well as the strategic ICRM direction
maintaining the sanctions compliance program for the businesses (assessment of risks, development of policies, procedures, governance)
Designing and maintaining elements of the ICRM Sanctions Framework
Advising and overseeing adherence to procedures and processes for compliance by front line units meet required standards
Directing technology solutions that enable effective and efficient compliance risk management solutions
Supporting investigations and interactions with the U.S. Treasury Departments' Office of Foreign Assets Control (OFAC), competent authorities of the European Union (E.U.) Member States, the Office of Financial Sanctions Implementation of the HM Treasury (“OFSI”) and/or local government authorities
Monitoring adherence to Citi’s Global Sanctions Policy and relevant procedures to verify adherence to applicable requirements
Working closely with ICRM Compliance Assurance and Internal Audit in the evaluation of results and proposed remedial actions, identifying opportunities to conduct more targeted comprehensive reviews

What we offer

business casual workplace
hybrid working model
competitive base salary
additional benefits that support you (and your family) to be well, live well and save well

Fulltime

Assessment & Design Lead Analyst

At Citi, we get to connect millions of people across hundreds of cities and coun...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

University graduate with at least 8-10 years of experience with strong strategic, analytical and product management skills
Must have exposure to 3-4 years of Risk, Control, Audit or Compliance roles
Working-level knowledge of core end-to-end processes performed in the Consumer and Private Bank business
Prior experience and exposure in Investment Products across Capital Markets and Manage Investments
Experience with governance, risk and control management, risk approvals, as well as engaging with 2nd/3rd lines of defense
Understanding / familiarity with new product development (e.g. first and second line of defense risk/control mechanisms
Ability to move from granular detail to strategic level, with effective executive presentation skills
Comfortable operating with limited guidance and under significant time pressure

Job Responsibility

Proactively work with Investment Products teams across Capital Markets, especially Foreign Exchange Products on identifying risks in existing process, evaluate adequacy of controls and mitigate through enhancement of controls, wherever applicable
Actively work with Control Owners to map all Key Inherent Risk Process and existing including enhanced Controls in Control Inventory, thereby ensuring effective monitoring of Controls in MCA framework
Evaluate any issues identified through Escalation Mechanism, Customer Complaint, Operation Loss, Internal and External review to understand the impact to existing process and control framework, including leading the remediation efforts with Investment Solution Team
Supporting the business in review of Product Programs, Desktop Procedures across Capital to identify risks in current process, evaluating areas of strengthening of controls and ensure sustainability of those controls are built as part of monitoring, wherever applicable
Have extensive knowledge and understanding of Private Bank business with regard to Investment Product and sales process
Act as Accountable Functionable Reviewer and assess each new product or process rolled out have effective controls embedded as part of the process include review of Risk Stripes to ensure risk and mitigants have been captured
Working with Sales & Advisory and Investment Product teams to continuously evaluate and drive the maintenance of the regulatory inventory linkage in supporting controls in Citi’s system so that management can effectively demonstrate adherence to applicable laws and regulations through the Manager’s Control Assessment program
Lead the engagement with Product on ensuring “Audit Readiness” including leading the targeted reviews and engaging with Internal Audit and Compliance Assurance as part of Audit and Exam Management
Assess the effectiveness of existing controls through horizontal process-based reviews out of lesson learned activity on internal events or external events faced by industry. Wherever, gaps are identified, work with business to develop and implement corrective action plan
Actively collaborating with business to identify, evaluate, and manage regulatory adherence risks arising from the definition of business strategy, development of new products and services, changes in regulations or internal policies, or from business-led changes

What we offer

Provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more
Empower our employees to manage their financial well-being and help them plan for the future

Fulltime

Sanctions Compliance Officer - Services Technology - C13

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...

Location

India , Mumbai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise in technology infrastructure, architecture, and data
Preferably expertise of Sanctions and AML regulations, risks and typologies
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong written and verbal communication and interpersonal skills
Ability to both work collaboratively and independently
ability to navigate a complex organization
Advanced analytical skills
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)

Job Responsibility

Working collaboratively with the team to provide advice to business with respect to applicability of policies and implementation of the economic sanctions program and regulatory changes
Analyzing data, preparing and presenting regional and global reports related to sanctions risk assessments, and monitoring of sanctions related issues, data concerns, and escalations with senior management and global partners
Providing input on new business initiatives, new products, and technologies/systems
Partnering with functional partners, as applicable, to ensure potential risks are appropriately vetted and addressed
Identifying and escalating to the Chief Sanctions Officer material risks and significant instances of not adherence to the Framework by accountable front line units
directing investigations in coordination with GIU, CSIS, Legal, HR or as appropriate
Monitoring adherence to Citi’s Global Sanctions Policy and relevant procedures
staying current on key Sanctions regulatory changes, key enforcement actions and related industry trends
Overseeing adherence to procedures and processes, to ensure compliance with policies ensuring that front line units meet required standards
Promoting global consistency of Sanctions ICRM practices and policies – within the line of business as well as cross-sector

Fulltime

Vp, In-business Risk 1lod Lead Analyst

The analyst, within the Regulation Risk Team, is responsible for assessing and e...

Location

Costa Rica , Heredia

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

2-4 years of experience in internal audit, control testing, operational risk, compliance, or a similar control-focused role within the financial services industry
Demonstrated experience in performing control assessments, identifying control weaknesses, and recommending remediation strategies
Familiarity with regulatory frameworks and their associated control requirements
Strong analytical skills with the ability to interpret control data, identify trends, and analyze root causes
Proficiency in Microsoft Office Suite, especially Excel (for data analysis) and PowerPoint (for reporting)
Excellent written and verbal communication skills, with the ability to articulate complex control concepts and findings clearly and concisely to both technical and non-technical audiences
Project management knowledge and experience working with diverse group of stakeholders to achieve milestones and deadlines and capability to handle multiple projects at one time
Proven relationship management skills with ability to deepen relationships and build partnerships across the business, executive leadership and key functional support areas like Legal, Compliance, Control, in-business Risk and Independent Risk
Good knowledge of Citi products, risk processes and controls with good understanding of regulatory requirements and risk management framework
Experience in compiling process and data quality metrics, analyzing results to clearly communicate data-driven analysis to senior management

Job Responsibility

Monitoring of Control Performance: Actively oversee the implementation and continuous performance of all controls, with particular attention to those related to Tier I and Tier II regulations. Proactively identify control gaps and ensure adherence to established regulations and internal policies/standards, providing a consolidated view of control execution
Conduct or coordinate detailed assessments of regulatory controls, analyzing their mapping to specific regulatory requirements and obligations
Identify and document control gaps, overlaps, and inefficiencies, focusing on consistency and effectiveness across various regulatory domains
Collaborate with control owners to ensure accurate and comprehensive control inventories
Perform root cause analysis to identify underlying drivers of control weaknesses, including process failures, technology limitations, human error, and design deficiencies
Control Oversight & Governance: Provide centralized oversight of overall control administration activities and performance. Diligently track the performance of various control types (Common, TRC, RCO) and control attributes, including mapping across business units. This is crucial for assessing risk exposure and ensuring ongoing compliance with all pertinent regulatory requirements from an integrated perspective
Develop recommendations for control enhancements and remediation actions, ensuring sustainable improvements
Support the development and implementation of automated tools and methodologies for prioritizing controls based on risk levels and design effectiveness
Contribute to the design of preventative controls that proactively mitigate regulatory risks, leveraging advanced technology and process improvements
Control Reporting: Develop, manage the extraction, reporting, and in-depth analysis of data pertaining to control mapping and performance across the organization. This involves closely monitoring the mapping of diverse controls to regulatory requirements and maintaining a central, accessible repository of historical data, essential for identifying horizontal trends, performing root cause analysis, and provisioning controls for audit and examination

Fulltime

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Manager, Risk Management- Horizontal Audit

Capital One

Location:
United States , Plano

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
April 16, 2026

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Manager, Risk Management- Horizontal Audit

Capital One

Location:United States , Plano

Category:Finance

Contract Type:Not provided

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Job Posted:April 16, 2026

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