Capital Markets Internal Control recruitment
Role Purpose
Part of the Internal Control team providing assurance that key controls are designed and are operating effectively through monitoring activities, undertaking reviews and investigations as required, with a particular focus on the Markets Product Control function.
• Oversee day to day operation of internal control over financial reporting
• Coordinate attestation and sign off of control activities across business functions and prepare management for meetings with senior stakeholders
• Produce monthly and quarterly MI over financial reporting controls
• Respond to ad-hoc queries regarding relevance of processes and systems for inclusion in Sarbanes Oxley program
• Lead annual SOX business and IT scoping exercises
• Liaise with, and act as main Operational Risk point of contact with, external audit to ensure a smooth year end process
Accountabilities:
The incumbent will play a key role in managing the Operational Risk profile across Global Markets Product Control which will have a direct impact on profitability and the achievement of high level business objectives. As a key advisory role in all Product Control strategic business development ensuring control standards are met. The individual will be responsible for oversight and challenge of senior management within Markets Product Control for managing operational risk. The individual will also be responsible for oversight of the Business Risk and Control programmes within Markets Product Control and play a key role in managing the control framework for financial reporting.
Key stakeholders for the incumbent are Global Markets Product Control Heads, CFOs and Business Managers, plus Senior Management in support areas.
The successful candidate will have extensive industry experience in a sophisticated product control environment. They must have a deep knowledge of the control environment and of the trade lifecycle. Understanding of advanced operational risk frameworks in major financial services firms would be a distinct advantage.