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Associate, GBM Internal Control Expired Paid Listing

8ae24d58

Zip Recruiter Canada

Negotiable

Toronto, Canada

Canada

Finance

ASAP

01/09/2020

16/10/2020

Permanent | Full Time

The incumbent is responsible for providing reasonable assurance that quality standards are met across GBM, performing ad-hoc and regular Quality Assurance testing to assess the adequacy, adherence, and effectiveness of Regulatory Onboarding Policies and Procedures, and that regulatory onboarding controls are being appropriately executed in GBM jurisdictions.


Key Job Accountabilities:


• Operational Management and Improvement
Perform qualitative and risk-based Quality Assurance by testing and evaluating key control points of a sample selection, and develop testing results in accordance with GBM Quality Assurance Procedures. The reviews will require good knowledge of Regulatory Onboarding Policies and Procedures.
o Testing of regulatory onboarding procedures that impact GBM business trading activity (Dodd-Frank, EMIR, Canadian Trade Reporting) and the review of procedures and ad-hoc reviews
o Perform analysis to identify and address patterns, themes, or trends that indicate potential weaknesses or gaps in the execution of GBM-wide Regulatory Onboarding controls and procedures
o Produce Regulatory Onboarding 1st business line metrics and key risk and performance indicators
o Provide effective and constructive feedback to the execution teams within GBM on identified deficiencies
o Support in developing appropriate corrective action and preventive actions plans. These will be in their entirely Regulatory Onboarding related, and require good knowledge GBM-wide Regulatory Onboarding controls and procedures
o Develop periodical Regulatory Onboarding QA reporting of findings and progress against remediation objectives to management and other key stakeholders
o Support continuous development on Regulatory Onboarding QA reporting to ensure timely delivery of Regulatory Onboarding QA reporting to Senior Management and 2nd Line stakeholders

 

Our team has more than 2 years of experience as an IT consulting service provider in finance, telecom, health, and other major industries to guide companies of all sizes through complex, costly and expanding IT issues with their budget and goals in mind.



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