Business Controls Manager, AVP

Posted on Dec 12, 2018 by State Street UK

London, London United Kingdom
Legal
29 Nov 2018
Annual Salary
Full-Time
Purpose of role:

SSGA EMEA's Business Control Function is a business aligned control assurance team focused on mitigating risks within the First Line of Defense (FLOD) through control monitoring and improvement.
This role will provide you the opportunity to develop a detailed understanding of processes and controls within SSGA, identify and drive solutions to improve the control environment, thereby effecting behavioral change within the organisation.
You will be required to engage with a variety of first and second line stakeholders such as Compliance, Enterprise Risk Management (ERM), Legal, Portfolio Management, Trading and Investment Operations to ensure appropriate controls are in place to meet regulatory expectations and to mitigate operational risks.
The team works in collaboration with peers in North America and Asia Pacific regions as part of a global FLOD Risk Excellence program.

Major responsibilities:

  • Assurance Reviews: taking a leading role in the planning, fieldwork and reporting stages of Assurance Reviews to identify and test the control environment and subsequently, report and agree any control improvements with Senior Management.
  • Stakeholder Relationship Management: positively engage with stakeholders (e.g. Senior Management, Compliance, Risk, Product, etc.) through the assurance review process as well as during other internal initiatives and projects, as required. This includes effectively communicating status updates, findings and recommendations to Senior Management.
  • State Street Risk and Control Methodology: assess business risks and ensure that controls effectively and efficiently mitigate risks using the State Street Standard risk methodology.
  • Project Management: apply project management principles and disciplines to deliver Assurance Reviews and other assigned initiatives on time and with high quality outcomes.

Person Specification
  • Bachelor's degree
  • Professional qualification advantageous
  • Minimum five years PQE with sound knowledge of investment processes and instruments, client service requirements and operations. You should preferably have a background in accounting / internal audit / compliance / operational risk / operations / consultancy / business analysis / fund administration
  • Have a good understanding of control and process mapping methodologies
  • Effective communication, negotiating and influencing skills you can guide and influence the controls agenda with the resilience and ability to operate and challenge at senior level
  • Customer focused to ensure the team is sensitive at all times to the demands of our partners and our business
  • Have an interest in regulatory requirements within the Fund Management Industry i.e. UCITS, MiFID II, CRD IV, etc.

Reference: 599062154

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