Financial Services Client
Office Status: Hybrid
Job Duties
This job description outlines the requirement for Americas Head of IT Governance & Controls reporting to the Global Head of IT Governance & Controls with matrix reporting to the Americas CIO.
Governance Frameworks & Controls:
- Support implementation of the IT risk management framework and process through supporting the roll out the firm’s Enhanced Risk Control Framework for the region.
- Support risk reporting for core IT processes and provide regular group risk reports covering these KPIs/KRIs, with focus on Americas
- Ensure Technology policies comply with Group standards and ensure policy amendments/changes are carried out in accordance the relevant governance bodies
- Support the Technology Risk Forum as part of risk governance structure and provide coverage in the Americas Regional Risk Committee
- Provide central view of control requirements and control attestations for the function and appropriate regional risk owners
- Support management of controls development, attestation, and assurance program to demonstrate oversight and management of key controls
- Partner to develop new & enhance existing tools to demonstrate controls oversight within the 1st Line of Defense
Audit, Regulatory & External Response Management:
- Act as primary point of contact and facilitator between Technology and both external & internal auditors as it related to the Americas region
- Oversee and monitor progress of mandated remedial actions for the Americas from risk, events, control vulnerabilities and audit actions
- Review audit findings and provide challenge to appropriateness of ratings and action owner assignment for the region
- Oversee the regional IT teams proactive participation to remediate audit findings.
- Advise on the best possible way to remediate audit findings after validating the approach from the auditors. Provide management reporting on the open audit findings
- Facilitate with IT team to complete client and regulatory questionnaires as relevant ; review and validate responses prepared for client questionnaires; participate in follow-up meetings to resolve queries related to the response
Risk Management
- Act as primary point of contact between the Technology function and the Risk function on a day to day basis, championing Risk Management in the function and coordinating with the Risk function as required
- Co-ordinate and manage risk assessment processes including any required reporting in to the central risk system
- Liaise with all key stakeholders in carrying out all required risk management processes
Other Duties
Risk Responsibilities
Ensure that you understand the risks and controls on your department; what could go wrong, what controls you have to prevent/detect or contain these.
- Be proactive and deliver thorough risk management driving behaviors which comply with policies
- Ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
- Take responsibility for the implementation and maintenance of policies, processes, systems and controls as required by the Risk function and the Policy Owners
- Ensure that you engage appropriately with the Risk team to ensure the effective implementation of all risk management processes.
- Report all events and breaches where there has been a failure to adhere to policies and controls to the Compliance function
- Escalate risk events immediately and log them within 24 hours using the risk event capture form on the intranet
- Provide input if requested to the Risk and Control Self-Assessment process, scenario analysis, ‘Deep Dive’ reviews and any other risk management processes, as required.
Skills and Experience:
- Multiyear experience in a Risk control, Risk management environment
- Proven track record working in Risk Management / LOD / IT functions
- Proven track record working with regulators / auditors
- Thorough understanding of IT Risk control mechanisms
- Experience of control testing / assurance / managing audits
- Detailed Understanding of Technology governance processes
- Takes ownership / accountability of tasks and drives them to completion
- Constructively challenge where appropriate
- Continuous improvement to achieve ‘best in class’
- Ability to develop and present management summary
- Proven leadership and management qualities
Person Specification
Client Focused
- Personable with the ability to develop strong working relationships at all levels
- Proactive and highly engaged
- Demonstrates strong customer focus & ability to work effectively with others
- Constructively handles disagreements to reach a resolution
- Ability to work with diverse groups/ personalities
Innovative
- Solution orientated – not just present a problem, adapt for Technology
- Flexible approach to work – ability to adapt to a range of tasks
- Seeks opportunities for improvements; Future proof solutions
- Handles situations and problems with innovation and creativity
Dynamic & Competitive
- Demonstrates high levels of energy in seeking out and achieving new goals
- Shows evidence of being comfortable working in fast paced or pressured environments
- Enjoys a challenge and knows when to escalate
- Ability to work effectively in a high pressure environment
Open & Communicative
- Confident and professional writing skills, including ability to draft correspondence on behalf of senior leaders, and knowledge of etiquette for formal correspondence
- Communicates effectively and efficiently to internal and external stakeholders
- Adapts communication style to suit audience
Personal Integrity
- Able to demonstrate honesty, integrity and professionalism
- Promotes loyalty to principles
- Works ethically and shows respect for both professional and company values
Effective
- Excellent attention to detail, highly organized with a proactive approach
- Strong analytical ability and problem solving skills