SVP Business Risk Analyst – Markets 1LOD Control Testing

Overview

SVP Business Risk Analyst – Markets 1LOD Control Testing (TAGUIG) – Citi, Taguig, National Capital Region, Philippines.

Markets Governance & Control works with the Markets businesses and functions including Compliance, Operational Risk and Internal Audit, to support identification, evaluation and management of operational and compliance risks in Markets Sales and Trading businesses. The 1st Line of Defence (1LOD) Markets Controls Testing team is part of Markets Governance & Control, and is responsible for execution of a comprehensive, risk-based programme of control testing covering all Markets businesses globally. The primary mission of the 1LOD Markets Controls Testing team is to support Management in its continuous monitoring of its control framework and residual risk profiles, thereby supporting responsible provision of financial services to clients and effective risk management for the firm.

The Global Markets Control Testing Programme Head leads and directs a team of approximately 40 controls testing professionals responsible for supporting the above responsibilities, with breadth and depth on control testing planning and execution. This position reports to the Global Markets Control Testing Programme Head, within the Markets Governance & Control Team; and is a strategic- and execution-oriented leadership role accountable for end-to-end control testing of controls owned by the Markets Front Office – which includes scoping, execution management, results reporting and providing remedial control advice to senior Markets stakeholders.

• Onshore testing lead role, responsible for planning, executing and reporting the results of control testing covering Markets Trading and Sales businesses
• Provide subject matter expertise to the junior testing team
• Plan, execute and report results of control testing
• Supervise and coach team members in execution of control testing
• Monitor execution of testing programme to agreed timelines, escalating and resolving obstacles to delivery
• Maintain high standards and best practice for execution of testing activities
• Provide challenge to stakeholders on the design and effectiveness of controls
• Support stakeholders in determining necessary control remediation identified through the testing programme
• Maintain strong stakeholder relationships across Front Office, Markets Conduct Risk, Compliance and Operational Risk
• Present impactful summary outputs from the testing programme to Senior Management and Governance Committees and Forums
• Provide Markets controls subject matter expertise to stakeholders across all three lines of defence

• 8+ years experience in Front Office controls testing, internal audit, external audit, independent control reviews, or similar disciplines
• Comprehensive understanding of Markets business activities and associated regulations
• Thorough knowledge of Markets Operational and Compliance risks and related controls for trading and sales activities
• Strong understanding of control design assessment and effectiveness testing techniques
• Experience managing execution of complex workloads to challenging timelines
• Experience coaching and developing team members
• Experience overseeing a team to deliver rigor and attention to detail in execution
• Experience developing and maintaining effective senior stakeholder relationships
• Track record of providing constructive challenge to Senior Stakeholders on risk management matters

• Bachelor / university education preferred, but appropriate industry experience and an exceptional delivery track record is also important

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