Ally Financial is a leading digital financial services company focused on customer-centric solutions. The Testing and Monitoring Analyst II for Invest is responsible for conducting comprehensive reviews of processes and controls within the Invest business line, identifying operational weaknesses, assessing risks, and recommending process improvements.
Responsibilities
- Conduct ongoing testing and monitoring of Invest processes to drive oversite of operational weaknesses, risks, and control deficiencies with little management oversite
- Initiate and facilitate walk through meetings with Invest teams to capture necessary process information for control testing
- Manage and maintain the tracking of action items from testing and ensure items are remediated timely and procedure updates are made where necessary
- Participates in meetings to report progress of testing, Action Items and Issue Validations
- Maintains accurate and complete working papers that clearly document all findings and possible risk
- Complete one-off/Ad hoc reviews for Invest as needed
- Maintain and reinforce the core principles of the Enterprise Testing and Monitoring Policy and all related Policies
- Support Issue Management process by validating Issues for completeness
- Assist management with duties as necessary
Skills
- 1+ years of experience in Brokerage Operations or Banking Risk Management (e.g., testing and monitoring, financial controls/SOX, or audit) required
- Strong understanding of Invest FINRA rules and regulations and Invest operations processes highly preferred
- High level of problem-solving capability and research-oriented skills
- Well-organized and thorough work ethic
- Understanding of Financial Services industry, with an emphasis on Risk Management; as well as related laws, rules, and regulations
- Strong Communication skills both written and verbal
- Strong skills in MS Excel and PowerPoint
- FINRA Series 7 & 63 preferred
Benefits
- Time Away: Program starts at 20 paid time off days in addition to 11 paid holidays and 8 hours of volunteer time off yearly (time off days are prorated based on start date and program varies based on full or part-time status and management level).
- Planning for the Future: plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan pay downs and 529 educational save up assistance programs, tuition reimbursement, employee stock purchase plan, and financial learning center and financial coach access.
- Supporting your Health & Well-being: flexible health and insurance options including medical, dental and vision, employee, spouse and child life insurance, short- and long-term disability, pre-tax Health Savings Account with employer contributions, Healthcare FSA, critical illness, accident & hospital indemnity insurance, and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.
- Building a Family: adoption, surrogacy and fertility assistance as well as paid parental and caregiver leave, Dependent Day Care FSA back-up child and adult/elder care days and childcare discounts.
- Work-Life Integration: other benefits including Mentally Fit Employee Assistance Program, subsidized and discounted Weight Watchers® program and other employee discount programs.
- Other compensations: depending on the role for which you are considered, you may be eligible for travel allowances, relocation assistance, a signing bonus and/or equity.
Company Overview
Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. It was founded in 1919, and is headquartered in Detroit, Michigan, USA, with a workforce of 10001+ employees. Its website is http://www.ally.com/.
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