GEAR Business Control Specialist
Core
Execute internal control discipline and operational excellence for Wealth Management Legal Order Operations by conducting independent quality reviews, assessing adherence to policies and regulatory requirements, and identifying defects to support risk mitigation.
Role type
Senior IC quality control specialist (wealth management legal operations)
Builds
Quality assurance routines and control effectiveness for Wealth Management Legal Order Operations
Domain
Financial services / Wealth Management / Legal Order Operations
Required skills
Quality Assurance, Controls Management, Issue Management, Monitoring and Testing, Risk Management, Analytical Thinking, Root Cause Analysis, Service Level Management, Regulatory Compliance, Data Organization
Preferred skills
Experience with Merrill Lynch, Pierce, Fenner & Smith (MLPF) and Private Bank operations, Experience in wealth management, private banking, investment advisory, or brokerage environments
Technologies
None explicitly stated
Responsibilities
Conduct quality inspection reviews to enhance employee performance and control effectiveness, Execute controls, manage cases, and report results, Document defects, evidence packages, and quality findings, Partner with business stakeholders and quality teams to ensure consistent quality standards, Assess the design and effectiveness of the risk and control environment, Support operational research for regulatory exams and internal audits
Seniority
Mid-level, hands-on IC