Director of Governance, Risk Oversight
6 days ago
Northern Trust is a leading global financial institution, renowned for its commitment to excellence and integrity. With a rich history spanning over 130 years, we have established ourselves as a trusted partner to the world's most sophisticated clients.
Our organization is built on a foundation of service, expertise, and integrity, and we take pride in providing innovative financial solutions and guidance to our clients. Our team of over 22,000 partners is dedicated to delivering exceptional service and expertise, leveraging leading technology to drive success.
Role/DepartmentThis is a newly created leadership position within the Global Strategic Remediation Oversight and Governance team, reporting to the Head of Strategic Remediation Validation Testing. The successful candidate will bring proven expertise in financial services assurance and validation testing activities.
The manager will lead the efforts to build and manage a team responsible for executing quality control validation and assurance activities for a portfolio of significant remediation activities. This includes activities related to regulators and internal audit.
The manager will be responsible for ensuring the successful execution of the quality control testing program, aligning 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 will be responsible for building, leading, and developing the Strategic Remediation Oversight & Governance Quality Control Testing Team in Limerick.
Key Responsibilities- 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.
- Ensure 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.
- 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.
- Stay current on regulatory rules and changes within the industry.
- Maintain 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.
- Interact and partner with senior and executive management to provide feedback and challenge on the quality of remediation activities.
- Issue quality control testing reports for responsible areas to ensure clear, concise, and timely communication of risks and issues to senior and executive management. Perform 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.
- Participate 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.
- Communicate 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.
- Participate in meetings with business units to discuss quality control results.
- Communicate with partners at all levels, developing and presenting recommendations on operations and controls for the business unit.
- 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.
- 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.
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