BRM Control Testing - AVP

BRM Central Testing – AVP

Job Description

The Investment Services Testing team performs operational effectiveness testing of internal controls on behalf of the First Line of Defence for the Investment Services business to support Business Risk Management in assessing and continuously improving the bank’s control environment.

This AVP role helps to manage the Testing Team within the First Line’s Business Risk Management organization and ensures that the control testing program runs efficiently, in accordance with defined control testing methodologies, while maintaining effective, regular, and open communication with Business Risk Management and the broader operational business. This role includes the supervision of 5-10 team members and ensures the team produces high quality work to agreed timelines.

The ideal candidate has experience in a large financial services company performing and supervising control testing work (eg. SOX, SOC, Internal Audit, etc). They will have several years of experience in employing common control testing concepts such as population identification and sampling, designing appropriate control attributes to address required control objectives, an understanding of information processing objectives (ie. Completeness, Accuracy, Timeliness, etc), and an awareness of industry standard control assessment frameworks (eg. COSO).

Requirements

• 12+ years of experience of using common control assessment and testing approaches to perform control design and operational effectiveness reviews including in a supervisory / managerial capacity.
• Strong verbal and written communication skills in English to interact and maintain relationships with internal stakeholders at relatively senior levels.
• Proven project management and leadership experience in an audit/testing environment and a desire to further develop these skills
• Strong organizational and time management skills to lead and track multiple simultaneous tasks in a deadline-driven environment as well as to manage a team in order to meet deadlines.
• Ability to provide effective coaching and workpaper review for less experienced team members in audit/testing methodology.
• Proactive and a goal oriented strategic thinker with ability to identify creative solutions to new problems.
• Familiarity with common risk and control processes relating to financial services, securities trading, asset management, custody banking, or fund services.
• Some knowledge and awareness of general banking compliance requirements and fundamental regulation (eg. AML/CFT, legal entity governance, etc)

Qualifications:

• Complete or partial professional qualification in an audit or related professional field (eg. ACCA, CIA, CFA, etc.)

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