Exl Service

  • Legal Entity Governance Auditor - (Contract)

    Job Location US-NY-New York
    EXL Consulting
    Temporary Full-Time
  • Overview

    At EXL, we believe there is always a better way. We look deeper, we find it and make it happen. Our solutions integrate operations management services, analytics and technology platforms to deliver immediate results and long-term business impact.


    Ours is a company built on value and trust. Our core values are innovation, excellence, collaboration, integrity and trust. We take client service seriously; and our clients’ priorities drive our business focus. Their journey is our journey.


    EXL’s Finance Transformation practice focuses on 5 key areas, including, Finance Organizational Design, Process Optimization, Finance Systems Advisory, Compliance & Assurance, and Accounting Advisory Services.


    The Legal Entity Governance team is responsible for managing and sustaining the legal entity control framework and its ongoing enhancements to ensure appropriate risk-based coverage for the Firm’s legal entity structure.  The legal entity control framework must be able to assess and react to changes in regulatory and/or business requirements that may impact the Firm’s legal entities. 


    • Partner with other leaders on the team to ensure accountability and transparency of the Firm’s legal entity governance framework through the oversight of:
      • Legal entity governance & structure policies and procedures
      • Legal entity governance standards
      • Legal entity due diligence
      • Issues and exceptions escalation
      • Remediation when required
      • Legal Entity Oversight & Governance Committee support
    • Work with the team to manage an effective legal entity governance framework through the administering of policy principles and standards, and the monitoring of adherence
    • Work closely and manage relationships with key stakeholders such as the Firm’s Recovery and Resolution Planning (RRP) Group, Corporate Treasury, Risk Management, Legal and Compliance, to ensure compliance with legal entity governance principles and standards
    • Serve as a point of contact for region specific legal entity structure changes proposed by the businesses; includes assisting the businesses with proposals for new legal entities, repurposing of legal entities and changes in the ownership structure of the legal entities
    • Assist in the preparation of presentations to Global and Regional Legal Entity Oversight & Governance Committees; presentations include legal entity structure change proposals, results of various legal entity governance assessments, and other relevant matters requiring Committee review and approval
    • Propose and draft updates to the legal entity governance policy and related procedures as needed
    • Assume lead role in monitoring and managing the integrity of required legal entity reference data contained in the main source legal entity database; involves working with system and data owners to ensure that accountability and ownership exists for the required legal entity reference data    
    • Assume a key role in managing the results of the Firm’s Annual Legal Entity Rationalization (LER) Criteria Assessment; involves identifying exceptions and/or non-adherence to the criteria, and establishing remediation plans to address them
    • In coordination with the RRP Group, assist in completing the Material Entity Designation process which involves the identification of material entities to be considered for inclusion in the Firm’s Title I resolution plan; also involves the coordination of material entity review & challenge by senior stakeholders across the organization


    • Bachelors’ degree in Finance, Accounting, Economics or related fields
    • 8 years minimum of relevant professional experience
    • Ideal candidate should have experience with high profile regulatory initiatives or submissions (e.g. Recovery & Resolution, CCAR, Dodd Frank, etc.)
    • Effective relationship building and partnering skills; ability to collaborate with all levels of management and corporate partners
    • Ability to manage responsibilities within a global team environment, and supervise staff
    • Strong analytical, problem solving, communication and presentation skills
    • Proficient in MS Office and related applications; experience with SharePoint sites required

    EEO Statement



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