The incumbent should be an assurance focused professional who should be able to pprovide a greater level of assurance around core controls including balance sheet and sox controls through regular substantive testing to:

- Assess adherence to relevant General Ledger polices of the bank by account owners for the purpose of periodic sign off that they perform

- Assess adherence to relevant SOX polices of by control owners/performers

- Assess adherence to the defined roles and responsibilities within Global operation's various line groups and across other departments (as appropriate)

Includes regular repeating testing cycles as well as more ad-hoc and customized testing approaches. There should be sufficient focus on proactive identification of solutions for risk areas to mitigate potential errors before they occur.

Achieved as part of the wider Risk Framework and Quality Assurance team who have a mission to - Drive compliance with core control standards through better risk understanding and ownership at all levels. The incumbent may be required to partner with RF&QA colleagues to assist in other areas such as standards development and training / content, etc.

The core responsibilities assigned to this role will initially include;

- Monthly assurance of adherence to relevant General Ledger polices of the bank by account owners for the purpose of periodic sign off that they perform

- Periodic assurance of adherence to relevant SOX polices by control owners/performers

- Other periodic / ad-hoc assurance of operations risk frameworks, policies, standards and attestations performed within Global Operations

- Execute on the fully independent aspects of the global Assurance plan, having defined repeatable process to request information / test & review / report / provide feedback loop to both management and framework teams

- Support and perform more in-depth process reviews as part of the Assurance plan through a combination of documentation review, assessment and validation; sample end-to-end testing and limited [phone] interviews

- Performance of all necessary and defined steps that go towards completion of an assurance including but not limited to work paper maintenance, appropriate communications to stakeholders, follow through, etc.

- Other responsibilities include;

- Establish and cultivate good working relationships with Operations Line management and staff and key internal stakeholders to ensure collaboration.

- Help further develop risk and control framework and standards, leveraging existing expertise and experience

- Work with the team and wider partners in OC&R to run initiatives to help drive risk and control understanding more deeply into GO

Value Proposition

Key role within OC&R to provide assurance over activity and support the development of an enhanced risk and control framework.High management visibility and focus across all aspects of role - Define best practice, help drive understanding, provide training, and review activity.

REQUIREMENT : 

Ideally the candidate should have extensive assurance experience in performing balance sheet, SOX and other along with exposure to process reviews, an investment banking background and the ability to analyse problems and recommend practical and simple solutions. S/he should be a very good communicator and team player with a broad view of risk and the overview of the industry.

Pre-requisite:

- Highly developed process review skills; Ability to analyse problems from a generic standpoint and then deep dive into specific aspects - gained from a period in internal audit, supervising teams or doing process review projects

- Strong personal impact / Excellent communication skills and influencing ability

- Ability to - find and fix- issues from planning through to execution - likely achieved through a period working on specific projects;

- Good understanding of IB processes and framework; General knowledge of investment banking products and business aspects;

- Pro-active/ self sufficiency; good team player

- Multi-tasking and ability to meet tight deadlines.

- Understanding and appreciation of risks and impacts to a global financial services business;

- Relevant financial or regulatory qualifications; and degree in business, finance, accounting, legal or equivalent experience

- Experienced in dealing cross culturally

- Organized, articulate, attention to detail

Desired : 

- Broad regulatory background and knowledge - ideally with involvement in regulatory reviews gained from working in a regulator, internal audit or Compliance function; ability to learn quickly in new areas

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