Operations Control

• Ensure that designated product area(s) is compliant
• Monitor and assess key controls across Operations in London to identify trends and potential control issues (for designated product area(s)).

o The following needs to be analysed as part of the assessment:
o FIM requirements
o Operational Losses
o Exceptions meeting prescribed materiality
o thresholds
o Operations related MI
o SOX controls and deficiencies
o Audit reports
o System issues

• Assisting the line manager on ad-hoc projects and tasks
• completeness of deficiency reporting and process documentation
• unqualified sign off for Operations activities
• Evidence available for audit review

• Demonstrate effective control assessment via a formal monthly control meeting with designated product area(s).
• Identify trends and potential control issues and report in line with the escalation guidelines
• Prepare various reports and returns for Senior Management in a timely manner
• Become the focal point for all control related queries
• Promote a “Controls” mindset
• Evidence of review available for audit review

Experience

• Experience within a Control team a distinct advantage
• Familiarity with Global Markets Processes, in particular a knowledge of Operations
• Exposure to controls focused environment (internal/external) would be beneficial
• Strong systems knowledge (Excel, Access, internal systems)
• Organised and self-motivated
• Strong interpersonal skills
• Analytical approach to problems
• Business writing and presentation skills