Controls Testing Professional

Role & responsibilities

Domain Knowledge:

• Investment Banking / Wealth Management
• Corporate Actions
• Trade Settlements
• Middle Office
• Basic Back Office Operations

Key Skills & Responsibilities:

• Control Testing & Assurance
• Execute periodic control testing across Middle Office and Back Office Operations
• Validate design and operating effectiveness of key controls
• Assess preventive, detective, and corrective controls
• Perform sample testing and evidence reviews
• Identify control deficiencies and document findings
• Monitor control exceptions and remediation
• Operational Risk Management
• Internal Controls Framework
• Regulatory Compliance
• Risk Assessment and RCSA
• Root Cause Analysis
• Incident Management
• Governance & Controls
• Audit & Assurance
• Prepare control testing reports and management dashboards
• Track remediation actions and closure status
• Produce KPIs, KRIs, and risk metrics
• Stakeholder management with Middle Office, Back Office, Compliance, and 3LOD teams
• Support audit and regulatory activities
• Maintain evidence repositories and testing documentation
• Data analytics for control breaches, regulatory exceptions, rogue trading indicators, fraud patterns, and unusual transactions

Required Skills:

• Operational Risk Management
• Internal Controls Framework
• Control Testing Methodologies
• Regulatory Compliance
• Audit & Assurance
• Risk Assessment
• Root Cause Analysis
• Incident Management
• Governance & Controls
• Advanced Excel
• Dashboards and Analytics Tools
• Stakeholder Management
• Analytical Thinking
• Problem Solving
• Communication & Presentation
• Attention to Detail
• Ability to challenge constructively
• Self-driven with end-to-end ownership

Preferred candidate profile