EMEA Technology Risk and Control Lead - VP

Charles Levick
29 Jul 2017
15 Aug 2017
Contract Type

My client, a tier 1 investment bank, is recruiting an experienced service-oriented individual who has investment banking knowledge and can work in a technical environment to join their Operations and Technology team as Trade Processing EMEA Risk and Control Lead - VP.

Role Purpose

The role focusing on the management, tracking and subject matter expertise of mandatory risk assessments 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.
For TSCAs, this entails ensuring these items are correctly completed, evidence reviewed and that the controls are effectively and appropriately tested by an independent team.
Plans must be agreed for gaps identified and tracked to resolution.
Managing audit and operational risk issues raised against technology, working with audit /operational risk, the business and technology during the discovery and investigation stage, agreeing actions and ensuring that clear plans in place to address and tracking to delivery, managing all stakeholders to ensure compliance within agreed dates.
Project management and tracking of risk and control projects, working with SME's to ensure requirements understood and relayed to technical SME's.
Tracking the project deliverables, identifying and tracking risks and issues and where necessary escalating to ensure correct management focus.
Providing and delivering management information to our senior technology stakeholders. When required deputising for the global trade processing R&C lead.

* Manage the EMEA trade processing R&C team
* Project Manage and Track R&C project deliverables with reporting
* 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
* Liaison with 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 (TCSAs), 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 can 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

* Manage and coach the EMEA trade processing R&C team, ensuing workload pipeline and appropriate resourcing, working with partnership with the US and APAC teams Identify and escalate challenges to the global lead.
* Point of contact for R&C issues/evidence/requests from internal and external teams. Providing guidance on requirements and actively managing issues and risks. Manage escalation to Global lead and senior stakeholders as required.
* Control - coordination of risk assessments, Technology Risk and global security activities
* Actively work with all stakeholders (O&T and business) to ensure any open gaps or vulnerabilities are closed or appropriately risk accepted.

Person Specification

Previous experience in an application support or similar technical Risk and Control role that includes a business engagement component
* Strong skills in Microsoft Productivity suite (Word, Excel, Project, PowerPoint, Visio)
* Data Analysis
* Project Management
* Ability to work in a technical environment.
* Investment Banking knowledge
* Demonstrable track record in a service-oriented role