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Tier 1 Investment Bank is looking for an experienced Operational Risk & Control AVP to join the team focussing on the Technology & Operational Trade Processing business. Successful candidates must have solid Operational Risk expertise within an Investment Banking environment.
* Management, tracking and subject matter expertise of mandatory risk assessments within an Investment Banking (IB) environment including but not limited to the Technology Control Assessments, Operation Risk, Audit and Risk and Control projects on behalf of the trade processing capability and the Macro, Credit and Equities businesses. * Project management and tracking of project deliverables of risk and control projects, working with SME's to ensure requirements understood and relayed to technical SME's. * Point of contact owning relationships with Operational Risk, Technology Risk and Internal Audit to oversee, manage and mitigate delivery of required actions * Technology Subject Matter Expert for policies and standards impacting technology deliverables and / or processes. * Liaise with IB technology risk and R&C leads across markets to ensure consistent approach across the R&C deliverables.
Key specific accountabilities:
* Working with senior technology stakeholders to ensure full compliance of all mandatory deliverables including but not limited to audit, regulatory, operational risk and legal requests. * Working in partnership with technology risk, manage and track all mandatory deliverables, ensuring technology teams aware of their responsibilities to address and close out such deliverables. * Working with technology and technology risk to review all audits, ensuing that the solution and supporting evidence close out the issue. Providing an independent check and challenge view on the deliverable. * Manage the Risk and control assessments (RCSAs), working with partners in Technical risk to ensure testing requirements understood and the respective technology teams to provide required evidence and close control gaps as required. * Reviewing non-compliance requests - check and challenge such requests to ensure valid, working in partnership with technology team and technical risk to ensure all required mitigating control evidence clearly documented and is able to present this to the standard owner for review and sign off. * Working with Global lead to ensure proper risk and control governance and management reporting. Providing regular updates to our senior stakeholders on progress and challenges, deputising for the Global lead as required. Understanding the challenges and were necessary escalate and work in partnership with appropriate technology teams to resolve. * Assist with mandatory and regulatory initiatives as and when they arise in the R&C space * Ensuring continued compliance with Policies and Standards, reviewing new standards as published and working with technology teams to check and challenge.
Stakeholder management and leadership.
* Control - coordination of risk assessments, Technology Risk and global security activities * Actively work with all stakeholders to ensure any open gaps or vulnerabilities are closed or appropriately risk accepted.
Decision making and problem solving.
* Identification of repeatable activities, define automation requirements to improve productivity in the Risk and Control space. Work with counterparts across Markets to ensure consistency of process and on boarding to best practise by the team. * Working with our partners in Audit and Operations and technical risk to fully understand their requirements and ensure that the technology stakeholders understand what is expected to be delivered to reduce risk and non-compliance of policies and standards.