Risk & Controls Testing and Assessment, Assistant Vice President
About The Position
Reporting to the Controls Testing Leader in the Risk & Controls Office, this position is responsible for creating and updating control test scripts, executing control test scripts and assessing the design and effectiveness of internal controls in business areas and processes within Operations. Given the nature of this position, it is critical the candidate can produce high-quality workpapers to demonstrate how testing was executed and linked back from the evidence to the test script and from the test script to the control. The ideal candidate should be a highly motivated self-starter with the ability to transition and focus between tasks seamlessly, enthusiastic and energetic, goal-driven, and highly motivated to complete tasks in a timely and efficient manner.
Requirements
- Requires a completed bachelor's degree or equivalent plus 2-5+ years of experience in Control Testing, Risk Management or Audit.
- Be able to coach via influence.
- Collaborative/teamwork-focused approach.
- Comfortable working in a fast-paced environment.
- Ability to constructively work both independently and in collaborative environments involving all levels of management and employees.
- Actively listens and asks thoughtful questions.
- Ability to handle multiple assignments effectively.
- Strong written and verbal communication skills.
- Strong Microsoft Word, Excel, and Adobe Acrobat skills.
Nice To Haves
- Working knowledge of GRC tools such as OpenPages is desired
Responsibilities
- Oversight of test plans in compliance with applicable policies and guidance within the BURCO function, including documentation of test results and communicating a conclusion of the control testing effectiveness to upper management level stakeholders.
- Responsible for reviewing and proposing test scripts for newly implemented controls and changes to test scripts for existing controls.
- Executing testing procedures, documenting results and identification of exceptions requiring issue assessment, executing remediation testing, and summarizing overall test
- Provide support on control testing walkthroughs and guidance on meaningful documentation to support testing conclusions.
- Collaborate with risk management teams and other stakeholders to ensure control testing is aligned with broader risk assessment activities. Participate in RCSA Refreshes, acting as SME on control descriptions and testing requirements and techniques.
- Conduct Quality Checks over testing workpapers and outcomes. Be able to provide feedback, guidance and training based on thematic themes uncovered from QC.
- Liaison with 2nd and 3rd lines of defense to develop and deliver effective challenge responses, ensuring alignment with enterprise risk management and control testing standards.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
