Financial Services Risk Specialist

4 days ago

Johannesburg, Gauteng, South Africa RMB Nigeria Limited Full time

Job Description

The primary objective of this role is to develop and implement audit processes for conducting quality assurance of all deliverables, contributing to the implementation of a group compliance monitoring methodology in accordance with relevant regulations and best business practice principles.

This involves identifying development needs and addressing them through training and continuous professional development. Additionally, proactive seeking and embracing of formal and informal peer coaching opportunities are essential.

  • Develop and implement audit processes for conducting quality assurance of all deliverables to contribute to the implementation of a group compliance monitoring methodology in accordance with relevant regulations, applicable codes of conduct, and within best business practice principles.
  • Identify development needs and address these through training and continuous professional development.
  • Proactively seek and embrace formal and informal peer coaching opportunities.
  • Execute the monitoring assignment within the agreed budget and timelines, accurately capturing the time spent (self-management) and timely escalation of issues to minimize impact on monitoring delivery.
  • Ensure consistent quality client engagements and value-adding deliverables in all monitoring engagements (measured through client feedback).
  • Establish and maintain collaborative partnerships and a wide relationship network across business units and within compliance monitoring.
  • Respond to client needs and queries professionally and within agreed turn-around times.
  • Communicate professionally in all communication forms, actively listening to others.
  • Negotiate with management as appropriate to ensure key findings and follow-up actions are agreed upon.
  • Obtain a good understanding of the control environment being monitored, including information technology, internal financial control, and risk management related aspects, as well as interdependencies linked to this.
  • Plan monitoring assignments based on key processes and business risks identified and design the monitoring program in line with risks and key controls to be tested.
  • Apply specialist skills in the execution of planning activities.
  • Consider the use of data analytics in individual reviews to enhance monitoring planning and create efficiencies in monitoring fieldwork.
  • Execute monitoring fieldwork in compliance with MCoE methodology by following and completing prepared work programs, assessing the adequacy and effectiveness of governance, risk management practices, and internal controls, and applying specialist skills in the execution of monitoring activities.
  • Perform responsibilities with transparency, due professional care, and highest ethical standards to ensure monitoring outcomes align with work performed and the monitoring file.
  • Ensure confidentiality is always maintained in line with MCoE methodology operating manual/guidelines and group policies and frameworks.
  • Prepare a quality and balanced monitoring report to specified standards, encapsulating the control weaknesses identified and results of monitoring work performed.
  • Ensure monitoring file data quality is maintained through complete, accurate, and timeous capturing of monitoring outcomes onto the monitoring file.
  • Incorporate fundamental principles, key issues, and control themes emanating from other functional areas and assurance providers to ensure relevant and appropriate monitoring findings.
  • Support the Head of Segment Compliance Monitoring and Manager of Compliance Monitoring with other Compliance/operational and reporting activities as requested.
  • Identify opportunities for innovation in monitoring as well as client processes and develop practical solutions to implement innovative practices.
  • Effective communication with the monitoring team, monitoring management, and key stakeholders.
  • Aware of resources available and able to utilize them to best effect with guidance from senior monitoring staff.
  • Keeper abreast of emerging industry standards, best practices, industry challenges, upcoming legislation, operational requirements, and technology changes related to the internal monitoring environment.
  • Participate in internal departmental work and key standing tasks such as Board, Risk, and Monitoring Committee reporting as requested.

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