Strategic Controls Director recruitment
This also includes ongoing monitoring against the framework which will better inform compliance with both internal policy and procedures (Audit, Operational Risk, Sox etc) and external regulations (Fed, FSA etc). Additionally, the team is responsible for Audit Liaison across the Risk functions (this includes Internal Audit, External Audit, regulatory actions and other internal control assessments). The department currently has a presence in both London (covering EMEA and Asia Pacific on a remote basis) and New York (covering the Americas), and is aligned to Risk Management.
Main Function:
The role is in the Global SC team based in London, with an element of travel to New York and possibly Asia Pacific. The purpose of the role is to help drive forward the key objectives of the SC team, with an emphasis on Credit Risk Management:
Challenge the governance structure, documentation standards and control environment currently employed in MR and CR and where applicable PC.
Confirm/re-define the governance model and standards (i.e. people, risk control awareness/culture, approach, empowerment, escalation).
Confirm/re-define the policy and procedures to ensure the governance model is robust and adaptive to the increased demands for control and documentation required for regulators/audits.
Implement revised documentation standards to ensure proper evidence exists so that both internal and external stakeholders understand the control environment and can demonstrate the operation of a robust control environment.
Develop and implement a monitoring process to ensure ongoing compliance with the revised standards.
Challenge, co-ordinate facilitate reviews by Internal External Auditors on Risk and engage with regulators when required.
Person Requirements Basic Qualifications:
Undergraduate degree / Graduate degree
Professional qualification (e.g. ACA/CIMA/ACCA)
Banking or financial services experience
Strong understanding of key risks controls associated with Risk Management and specifically within CR Management in an investment bank.
Solid knowledge of front to back investment banking processes
Internal Audit/External Audit/Operational Risk/CR Management experience.
Strong people manager and leader to provide ongoing coaching and development of staff.
Ability to interact with senior management.
For more information please contact Stephen.Rogers@carrlyons.com