Manager - C3pri Risk and Control Team

3 days ago

Cape Town, South Africa LSEG (London Stock Exchange Group) Full time

Job Overview:
Customer and Third-Party Risk Intelligence operates around 300 controls across its business as part of its Control Framework across the HR, KYC Record Building, Quality Control, Business Continuity, IT and Security and Access Control. Each control is in place to ensure an important process is completed. These controls must operate effectively, not only to ensure that we will achieve ISAE 3000 or SOC attestations without any major observations but also to meet customer commitments.

The role of Manager - Risk and Controls Testing Team is crucial to ensuring that Customer and Third-Party Risk Intelligence effectively operates its controls as they are designed to operate. The role reports to the Head of C3PR Risk and Execution. This role is responsible for
- Day to Day management of the Risk and Controls Testing team including building the team’s delivery plan with the Head of Risk and Execution.
- Planning and testing controls, reviewing results, and collaborating with business and technology control owners - making recommendations to close any gaps identified.

Day-to-day Responsibilities:

- Maintain the delivery plan for the team
- Collation of materials for relevant risk reporting committees, including identifying and reporting risks to key stakeholders and senior management
- Work with Second Line of Defence (2LOD) to identify appropriate Key Risk Indicators (KRI’s) to monitor and report on non-financial risks.
- Participate in 1LOD incident management events including documentation of root cause and remediations to mitigate risk going forwards.
- Adopt and share a strong culture of risk awareness and accountability for controls and risk in the business.
- Key to the success of this role will be collaborating with stakeholders in both 1LOD and 2LOD as well as across the broader C3PRS team.
- Contribute to other control frameworks as required.
- Contribute toward the reporting framework for 1LOD.
- Schedule and perform detailed planning for Monthly, Quarterly and half yearly audits for workstreams they are responsible for.
- To prepare and execute test programmes and manage the performance of assignments.
- To prepare work papers and audit reports to support findings/conclusions and make recommendations for improvement where necessary.
- Discuss findings / observations with stakeholders.
- To follow-up on actions arising from audit assignments as required and assist with the preparation of status reports.
- To conduct training and awareness sessions with control owners / operators and Customer and Third-Party Risk Intelligence staff on how to operate controls effectively.
- To ensure the audit information repository is maintained and updated in a timely manner.
- To contribute to the development of the Controls Framework and process through continuous personal and professional development.
- Act as SME for Customer and Third-Party Risk Intelligence related issues, work closely with Operations and Enablement to ensure processes are compliant with Risk and Control principles.
- Work closely with external auditors during ISAE 3000 / SOC attestation or audits.

**Required Skills**:

- 2 plus years’ experience in one of the following; Auditing / Compliance / Risk & Governance / Quality Control / Quality Assurance.
- Experience in working independently and with management of teams.
- Educated to Bachelor’s degree level or equivalent.
- Strong analytical, written/verbal communication, interpersonal and relationship building skills.
- Ability to analyze, compare and interpret facts and figures.
- Persistence - able to ask questions, to challenge responses if needed and ask for further detail. Not always to accept the first answer given.
- Process and detail oriented.
- Demonstrated ability to take initiative and drive projects to completion.
- Ability to adapt to change and multi-task in a dynamic environment.
- Ability to work independently and in a team environment.Desired Skills:

- 2+ year experience in Know Your Customer / Anti Money Laundering / Financial Crime.
- No formal audit qualifications are required (though these would be considered a benefit).
- Ability to travel (up to 25%).

Location: Bangalore /Gdynia / South Africa

At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise - and our purpose. You’ll be part of an organisation of over 25,000 people, spanning 70 countries. We recognise the individual perspectives each of our colleagues brings, and our diverse workforce is one of our greatest strengths. In supporting collaboration and creativity and encouraging new ideas across a diverse and inclusive workforce, we can improve how we are driving financial stability, empowering economies, and enabling customers to create sustainable growth.

LSEG offers a range of tailored benefits and support from healthcare and retirement planning to paid volunteering days and wellbeing initiatives.

We are an equal opportunit

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