Risk and Controls Specialist

Description

• Verify closure of findings related to controls which they tested.
• Test controls for both design (DTR) / execution (OTR) with the frequency outlined as per the test cycle
• Upload the Excel test template to Archer (DTR/OTR)
• Ensure that correct population is used to get a proper sample selection (note the control owner should not pick the sample, if possible, the tester should gather the sample themselves)
• Test and document control descriptions, test scripts and walkthrough documentation together with the relevant “control owner” in the business.
• Review the proof and ensure it verifies that closure is acceptable
• Gathering proof that the SoD principles are met
• Ensure that the Findings Manager has uploaded proof to support the closure of the finding
• Gathering proof of control effectiveness (of all potential flows)
• Document the results fully and upload proof to appropriate internal systems within the required timeline
• Provide the 2LOR challenge to the risk assessments performed by the 1LOR
• Upload the proof to SharePoint OTR – proof of the full required sample. In SharePoint as file size may be too big to load into Archer.
• Consultative approach to internal stakeholders, to encourage and sustain company-wide support for process review improvement and controls implementation.
• Communicate the results of the findings to the 1LOR and agree the remediation timelines before the testing deadline
• Ensure the proof provided meets the EAE standard
• Provide support to the 1LOR in improving controls design when needed, to assure controls are designed in accordance with the Global/Local policies.
• Internal customer focus (Risk, Legal, Operations), to undertake process and control testing.
• Upload the proof to Archer (for DTR sample of 1 i.e. one example of the control working effectively this can be loaded to Archer)
• Secure that the documentation is audit proof. You will communicate the test results with the external auditor and will guide them through the documentation when applicable.
• Gather appropriate backup documentation to substantiate the Tester’s view and fulfil the required sample size

Requirements

• Sound understanding of leasing products preferred but not essential.
• Previous experience with Audit, ICFR (SOX) and/or independent testing including documentation is an advantage.
• Tertiary qualification(s) in Business studies/Finance.
• Internal candidates in their current role for less than 12 months are not eligible.
• Able to elicit cooperation and support from key process owners.
• Professional experience with background in Risk, Compliance and/ or Finance an advantage.
• 5+ years’ experience working in an Equipment Finance, operational/securities or similar environment.
• Able to develop timetables for various tasks with competing priorities and re- prioritise tasks quickly and in line with management expectations.
• Ability to work for sustained periods with minimal supervision.
• Good written and verbal communication skills.
• Strong influencing and analytical skills.
• Strong understanding of audit process and control requirements.

Benefits

Training + Development

Interview process

Visa Sponsorship

Security clearance