Associate, Quality Control

Business Control Office Dallas, Texas


The Associate, Business Control & Risk Management, represents the first line of defense and is responsible for partnering with internal stakeholders to drive effectiveness of people and processes, increasing awareness and support of the current risk culture.  The Associate will continuously encourage new ways of looking at established processes and practices and drives innovative ideas. 

The successful candidate will, evaluate and ensure that operational processes meet company objectives, business needs, service agreements and relevant requirements through quality control testing.  Demonstrate initiative and excellence while meeting expected timelines.  Provide feedback to business leaders for areas of opportunity and improvement.  Mediate discrepancies between business leadership and Quality Control as well as facilitate conversations for process improvements.  Drive efficiencies and effectiveness of the team to ensure goals are achieved.  Promotes risk management as an inherent part of the organization’s strategic focus.

What You’ll Be Doing:

  • Acts as a subject matter expert (SME) for critical and complex operational processes ensuring compliance with applicable business procedures, policies, and associated regulatory requirements.  
  • Conducts call monitoring and/or transactional testing and/or re-performances to ensure alignment with current business procedures and that test is performing as expected.
  • Applies advanced knowledge of policies and procedures to drive the design, assessment and/or administration of quality tests.
  • Identify, monitor and evaluate reporting, business processes, metrics, and trends for adherence to internal standards and regulatory expectations.
  • Problem-solving that involves analyzing the situation, understanding it, and coming up with an action plan that provides solutions and efficiencies
  • Demonstrates a working expertise in identifying complex issues, what the issues impact, who they impact, and facilitate conversations for process improvements.
  • Performs on-going monitoring of approved policies and procedures, established business controls and business practices; applies maturing knowledge to perform root cause analysis.
  • Provides feedback to senior business leaders for areas of opportunity and mediates discrepancies between business leadership and business process monitoring
  • Partners with various lines of defense, to share information and escalate issues as needed.

What You’ll Bring:

  • Education
  • Bachelor's Degree: Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field or equivalent work experience. Master's Degree: Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field.
  • Experience
  • 5-9 years Risk Management, Internal Controls, Quality Assurance, Auditing, Credit Management, relevant line of business experience and/or legal or regulatory experience.  
  • Skills & Abilities -
  • Demonstrated experience supporting and/or leading risk/controls/quality projects across multiple business lines offering a wide variety of financial services products and services. Knowledge of the financial services sector, particularly with the competitive dynamics and products in retail banking and risk management. Advanced understanding of the regulatory environment and how the risks of the products and services the bank offers are viewed by the Second Line of Defense and regulators. Ability to build credibility with, collaborate with, and influence line of business executives. Excellent analytical and complex problem-solving skills. Strong project management skills. Ability to constructively work both independently and in collaborative environments involving all levels of management and employees. Ability to collaborate with internal service providers to establish resource requirements, scheduling, assignments and service levels. Ability to build internal networks of information resources within the business ecosystem. Understanding of BSA/AML and OFAC regulations, regulatory expectations and industry leading practices.

Employer’s Rights:

  • This job description does not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.
  • The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.