Who we are looking for
The ideal candidate has strong expertise in risk assessments and internal controls, as well as experience in a compliance and / or audit function within the Financial Services sector. They possess strong management and coordination capabilities and thrives in a fast-paced environment.
Why this role is important to us
The centralized Quality Assurance (QA) team assesses the quality and consistency of execution of key non-financial risk management program components across the First and Second Lines of Defense. The QA Consultant (Assistant Vice President) will be responsible for the execution of QA processes across a number of areas relating to the Compliance Oversight Program. The successful candidate will provide assurance that QA processes are performed in line with established procedures.
What you will be responsible for
As Compliance Quality Assurance Consultant you will
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Execute, or review execution of, QA processes in line with established standards. Scope of work subject to QA includes Process & Control Reviews, Compliance Risk Monitoring & Testing (CRMT), Integrated Non-Financial Risk Assessments (INFRA), Regulatory Change Management, Controls Documentation, and Issues Management; governing Standards are executed by both the First and Second Lines of Defense
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Build a strong working knowledge of all non-financial risk management program components
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Articulate concepts in, and findings that deviate from, the established standards while educating stakeholders on how to apply requirements going forward
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Perform, or oversee as necessary, live QA reviews and facilitate on-the-job coaching to promote a culture of continuous improvement; develop and deliver clear and concise feedback in order to develop and maintain positive relationships with colleagues across all levels of management
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Deliver tailored training to educate stakeholders on areas for improvement
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Provide inputs to, or produce, quarterly reporting to relevant stakeholders (i.e., Senior Compliance Officers, Business Risk Management Executives) to communicate results of QA work
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Assist the QA Lead in the advancement of QA processes
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Update procedures, templates and other relevant reports to provide assurance that QA can be measured
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Assist the QA Lead and Methodology Team with management requests or other initiatives as needed which may include specialized analysis of controls or other specific risks
What we value
These skills will help you succeed in this role
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Excellent management and coaching skills
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Excellent critical thinking skills
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Customer focus and client relationship management skills
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Ability to communicate with and appropriately influence all levels of management
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Excellent interpersonal, communication (written and verbal), and presentation skills
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Excellent project management and organizational skills
Education & Preferred Qualifications
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Bachelor’s degree
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Minimum of 6-8 years relevant work experience with risk assessment, internal controls, compliance or audit function within the Financial Services sector
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2+ years of institutional knowledge preferred
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Sound knowledge of Committee of Sponsoring Organizations (COSO)
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Understanding of information technology internal controls and knowledge of COBIT (Control Objectives for Information and Related Technology) strongly preferred
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The following certifications are strongly preferred: Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) or similar certifications
We offer
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Employee savings plan;
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Premium life insurance package;
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VIP medical package;
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International operating environment;
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Language classes;
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Soft skills trainings;
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Technical workshops;
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Development sessions with a mentor;
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Diversity of opportunities across a range of challenging and highly complex activities;
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Technical or leadership career pathway