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Australia & New Zealand Location Control Manager - Associate



Sydney, NSW, Australia
Posted on Thursday, July 11, 2024

Job Description

Control Management maintains a strong and consistent control environment across the firm. With Control Managers appointed for each Line of Business (LOB), function and location, there is a comprehensive coverage and joint accountability model with the business executive that promotes early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk.

As an Australia & New Zealand Location Control Manager - Associate within the APAC Control Management team, you will be responsible for managing multiple exams/issues/testing with Regulators and Compliance/Audit, project delivery, stakeholder management and process improvement, and will report into Australia & New Zealand Location Control Management Lead in the region and work closely with the regional APAC partners as well as senior leaders in the region across the Businesses and Corporate Functions including Senior Country Business Manager (SCBM), Legal, Compliance, Risk, Finance, Audit, HR, Technology, and Operations.

Job responsibilities

  • Identify and assess potential control gaps and/or emerging risks across LOBs and Corporate Functions
  • Analyze data and trends to identify improvement opportunities and associated issues and risks
  • Support the optimization of legal entity reporting that presents an aggregated view of all aspects of operational risk and emerging control issues across the location
  • Provide Project Management Office support to regulatory change projects including performing maintenance of project plans, RAID logs and meeting schedules
  • Involve and being part of the key Regulatory Exam and inspections impacting the location
  • Publish reporting materials to the Location Operating Committee
  • Develop issue and action reporting for control gaps that impact the Australia & New Zealand business, ensuring prompt escalation and appropriate governance. Ensuring Australia & New Zealand issues logged into the Control and Operational Risk Evaluation (CORE) entry
  • Review and monitor regulatory engagements impacting Australia & New Zealand, coordinate with impacting business

Required qualifications, capabilities and skills

  • Bachelor’s degree
  • Minimum 5 years of financial service experience in controls, audit, quality assurance, risk management, compliance or controller
  • Experience in working with various with stakeholders across APAC
  • Program Management experience, strong collaborator with succinct communication skill
  • Experience with handling exams/inspections/testing and communicating with Regulators, Compliance (2LOD), and Internal Audit (3LOD)
  • Ability to multi-task, meet deadlines and be able to adapt to changing priorities
  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)

Preferred qualifications, capabilities and skills

  • Risk and controls background and knowledge of Issue Management & CORE requirements