Job Responsibilities:
The successful candidate should be enthusiastic, confident, and prepared to work in a challenging yet rewarding environment delivering first class solutions. Previous experience conducting regulatory examinations, compliance/operational risk testing, or internal audits of complex financial institutions is a plus. The ideal candidate will be someone who is able to:
- Communicate with relevant businesses, Compliance and Operational Risk Officers, Business Control Managers, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements (policies/procedures).
- Identify potential or actual weaknesses in controls, processes, and procedures.
- Interpret risk assessment results and develop appropriate methodologies and approaches to review business related activities.
- Communicate with relevant stakeholders to understand workflows, controls, processes, and procedures employed to mitigate operational risks.
- Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions.
- Follow-up on statuses of identified issues until effectively remediated.
- Partner with M&T teams in the regions to ensure global testing consistency and promote adherence to testing standards.
- Participate in special projects to enhance CCOR M&T processes and practices.
- Acquire and analyze data from multiple sources and systems across the PB EMEA to reach and support conclusions.
- Collaborate with other members of the CCOR AWM M&T team on reviews to maintain consistency of approach and documentation, where appropriate.
Qualifications:
- Three or more years of relevant compliance/operational risk testing, regulatory, examination, or internal audit experience.
- Experience within a top tier financial services firm is a plus
- Understanding of control frameworks and risk assessment analyses
- Experienced business writer with proven ability to review and edit testers’ written test related documents and ensure clear and concise descriptions of reviews and conclusions
- Strong analytical and investigative skills
- Ability to work independently and collaboratively within a team environment
- Ability to manage multiple assignments simultaneously with minimal supervision
- Strong interpersonal, communication, and organizational skills
- Ability to interact with all levels of personnel within the corporate framework
