Quality Assurance tests that the execution of the Monitoring and Testing Program in line with the firm’s Testing Standards and Procedures.
Assist with the build out of comprehensive test plans.
Partner with Monitoring & Testing, Operational Risk and Compliance managers, and business stakeholders. Involvement in departmental projects particularly in relation to the development of the development of the Annual Monitoring and Testing Plan
Work with global testing partners to support global monitoring and testing assignments as directed.
Perform ongoing QA reviews of the Compliance functions mentioned, to ensure controls/standards are met
Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made
Review quality of completed work, based on Firmwide standards.
Help to identify key issues, trends, observations and effectively report summary results to key stakeholders. Ensure consistency with the Global QA framework and governance approach
Required qualifications, capabilities, and skills
Bachelor’s degree or related experience.
Some understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. This includes analytical skills particularly in regard to assessing the risks associated with execution deficiencies
Minimum 1 years of relevant experience in the financial services industry in Compliance, Risk Management, Operations or Audit.
Strong verbal/written communication
Ability to perform end to end reviews of processes, think through various risks, understand applicability of different regulations and policies and ultimately be able to identify gaps / risks in operating environment
Good analytical skills and attention to detail.
Strong interpersonal and the ability to partner across teams and locations.