Responsibilities
- Supporting the management of the business in the strategic understanding and practical mitigation of their control risks and the evolution of the business’ risk culture
- Understanding and implementing the front office supervision and control arrangements using the firm’s tools (including who is supervising whom, at what activities, how and how well)
- Overseeing the active QA processes of supervisory activity including readership and evidence, trending reports, daily alerts
- Subject to delegation the role may also be responsible for reviewing daily activity reports and other control tools to identify any areas of concern for follow up and escalation, performing and documenting any relevant follow up assessments in consultation with the supervisors
- Supporting the identification, escalation and assessment of conduct issues with Control partners including ER and Compliance
- Helping to drive control initiatives across the EU to ensure the business is effectively managing all its operational risks. Understanding and helping assess root cause and mitigating controls for operational losses and errors and for contributing to the Risk & Control Self-Assessments of the business in the region
- Working with Enterprise Control functions to improve the quality of the supervisory reports
- Managing audit issue identification and remediation and handling Audit and Regulatory visits as the control face of the business
- Working with the Enterprise Control Function to update policies, procedures and controls to reflect changes in regulatory rules, including both global and local regulatory reforms
- Working across the region with the Business Control and COO teams in each country to ensure that the controls framework is common and effective in each location and responding to local issues
Requirements
- Be (or have been) suitably qualified
- Have relevant industry experience
- Have sophisticated analytical skills
- Have a strong academic background or equivalent
- Have good IT skills and the ability to develop ad hoc solutions
- Have exceptional communication/relationship skills.