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Front Office Controls Testing AVP - Investment Banking

£70000 - £75000 per annum



Overall purpose of role


-Undertake assessment of key controls in the Front Office Markets, Research, FiRM, Treasury and Banking businesses, challenging control design and control operating effectiveness.

-Develop strong and productive working relationships with senior Front Office management to ensure they understand their risks and have controls and processes in place to manage those risks.

-Challenge the control self assessments performed by Business Units, assessing the design and operation of the control in mitigating risks.

-Review how issues identified are resolved and whether actions taken are effectively mitigating the risk and and sustainable.

-Work with the Risk & Control teams in providing opinions and views on the status of controls in the across the front office.

Key Accountabilities

-The individual would be responsible for planning and executing Controls Testing reviews and reportingfindings with minimal supervision.

-Ensuring reviews are managed within the approved scope and budgets to high quality standard.

-Building and developing relationships with Business , Standard Owners and 1 /2 / 3 Lines of Defence stakeholders to drive the Business Control Framework agenda.

-Strong communication abilities with well developed report writing skills such that limited changes are required.Can present ideas clearly and concisely when required.

-Strong networking & stakeholder management skills and able to negotiate and influence effectively.

Operating as a Controls consultant to the business unit stakeholders, when agreeing plans and executing on testing reviews.

Analytical skills required especially when analyzing design and performing operational testing of risk and control environment.

Able to maintain objectivity in raising, validating and closing issues.


Risk and Control Objective


Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.

Person Specification

-Have an understanding of Markets (traded products) and Investment Banking products within a top tier financial institution.

-Basic understanding of modern governance, risk and control assessment techniques. Experienced in one or more of the following areas: Front Office, COO, Internal Audit, Operational Risk Management, Risk, Controls or related disciplines in the financial services industry.

-Good organization, planning and project management abilities.

-Basic understanding of the key Market, Credit, Conduct and Operational risks operating across asset classes.

-The role may involve overseas travel as needed.

Essential Skills/Basic Qualifications:

-Undergraduate degree or relevant business experience.

-Experience of working in a Front Office / Audit /Risk and Control environment within Investment Bank.

-Good experience of typical products within Banking and Trading business.

-Strong communication abilities with well developed report writing skills and presentational skills, including organization, planning and project management abilities.

-Good understanding of Microsoft Excel and analytical skills to perform data manipulation.

-Strong knowledge of relevant PC packages, e.g. Word & Power Point.

Desirable skills/Preferred Qualifications:


-Commercial awareness and product knowledge of complex trading products.

-ACA or equivalent qualification from Audit / Risk or relevant Business background.

-Understanding of the market, credit and operational risks operating facing Trading and Banking business.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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