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Director - Remediation Validation (Audit/Risk)
3 months ago
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
Role/DepartmentThis is a newly created manager position within the recently established Global Strategic Remediation Oversight and Governance (SROG) team as part of the Global Regulatory Affairs Office. The successful candidate will report to the Head of Strategic Remediation Validation Testing and will bring proven expertise in financial services assurance and validation testing activities. Among other activities, this manager will lead the efforts to build the team to execute on the quality control validation and assurance activities of a portfolio of significant remediation activities. Significant remediation activities include those related to regulators and internal audit.
This manager will be the senior leader within the country for the team and will be responsible for management of and ensuring successful execution of the portfolio of Northern Trust’s remediation quality control/validation testing program, ensuring alignment with regulatory expectations and translating multiple requirements into a balanced validation program.
This leader will interact and build relationships with executive and senior management across Northern Trust, and is responsible for building, leading and developing the Strategic Remediation Oversight & Governance Quality Control Testing Team in Limerick. The seasoned leader brings people leadership and development experience, thought leadership and subject matter expertise, and execution rigor to enable successful coordination and completion of issue validation and related testing activities.
The key responsibilities of the role include
- Lead a Strategic Remediation Quality Control Testing Team, ensuring the successful execution of the quality control testing program in accordance with established procedures
- Assist in defining and implementing quality control testing methodologies and build out of the local quality control testing team
- Oversee and manage quality control testing and validation of significant remediation activities within assigned areas of responsibility, ensuring execution in accordance with established time frames and procedures
- Assigns work to team partners, sets priorities and monitors activity
- Ensures that quality control testing scope is appropriate and covers key deliverables as defined by department standards and procedures
- Provide effective review and challenge of significant remediation deliverables to ensure quality of design, implementation and sustainability
- Identify critical gaps in completed remediation activities, present feedback in management forums, including regional and global senior management/risk committees across business, risk, and compliance, in advance of the formal submission to the regulators/Audit
- Provide clear and direct feedback to team members on their quality control testing work products to ensure sufficient documentation is prepared to support closure rationale/conclusions for internal auditors and regulators
- Work closely with the Head of Strategic Remediation Validation testing to ensure testing activities are robust and aligned with the quality control testing procedures
- Responsible for staying current on regulatory rules and changes within the industry
- Maintains familiarization and technical expertise with the assigned business unit(s) including organizational structure, personnel, activities and products, new product development, financial performance and risk and problem area
- Demonstrate excellent communication and leadership to influence a wide range of senior stakeholders
- Interact and partner with senior and executive management to provide feedback and challenge on the quality of remediation activities
- Responsible for the issuance of quality control testing reports for responsible areas to ensure clear, concise, and timely communication of risks and issues to senior and executive management. Also, performs peer reviews of other Quality Control Team’s reports when necessary
- Publish and present reporting to provide transparency to senior and executive management on the success of quality control testing outcomes
- Participates in senior-level committees and client meetings, along with presenting to the Corporation’s Business Risk Committee, Oversight Committee, Legal Entity Boards and Risk Committees
- Communicates with regulators, internal and external auditors, and various risk management committees within the Corporation as part of ongoing feedback and monitoring, which assists in managing the quality control testing plan
- Participates in meetings with business units to discuss quality control results
- Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit
- Assesses and determines staffing needs to propose to senior management, makes employment recommendations, handles salary administration, and ensures resources are available to accomplish priorities. Participates in recruiting process.
Skills/Experience
The successful candidate will benefit from having:
- Extensive experience in financial services, with direct experience or knowledge of auditing in the financial services industry, with strong experience related to risk culture, risk management, and compliance
- Previous management experience
- Strong analytical, leadership, and organizational skills
- Ability to work under pressure
- Ability to multitask and demonstrate flexibility to change plans at short notice
- Ability to communicate effectively in both oral and written forms, with all levels of staff and management
- Professional certifications (e.g., CPA, CISA, CIA, ACA, ACCA) and/or an MBA or JD along with demonstrated technical abilities in select areas (e.g., regulatory compliance, risk management)
- Extensive experience in the financial services industry, internal audit, or risk management, with preferred experience in one or more of the following: financial reporting, risk management/compliance, wealth management, asset management, and/or asset servicing
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve Join a workplace with a greater purpose.
We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies Build your career with us and apply today.
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.
We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
For further information, and to apply, please visit our website via the “Apply” button below.
