Manager - Internal Controls

at  Aztec Group

REPORTS TO OPERATIONAL RESILIENCE ASSOCIATE DIRECTOR

The Internal Controls Team is a cross-jurisdictional team within Aztec Group whose focus is Client related internal controls, maintaining a strong and robust environment through the effective design and documentation of controls, Quality Assurance activity and provision of technical guidance and expertise. A core part of the COO Office, this team will ensure our operations and Clients remain protected against risk within the changing environment in which we operate.
The purpose of this position is to provide oversight and support across the Aztec Group on all matters concerning our Internal Controls Framework.

SKILLS, KNOWLEDGE, EXPERTISE:

• Strong alignment to Aztec Group values and the ability to lead, coach and mentor a team aligning to these values.
• Very high level of integrity and dependability.
• Strong internal and external communication and excellent interpersonal skills, together with the ability to develop good working relationships within the business.
• Positive and proactive approach.
• Proven practical experience in developing policies and procedures and the successful implementation of these into a business.
• A deep understanding of operational risk and internal controls appropriate to a regulated financial services business.
• A broad technical understanding of a wide range of platforms and technologies
• Knowledge of ISAE3402 controls testing would be an advantage. Logical approach and ability to analyse data.
• Solutions orientated critical thinking.
• Awareness of industry best practice.
• Proven ability to quickly learn new information, processes, and procedures.
• Proven ability to meet deadlines and proactively identify and deal with problems.
• A self-starter with the ability to work independently or on concurrent initiatives.
  There is a requirement to travel to various locations for this role, for both team management purposes and for building relations with colleagues and teams in other Group jurisdictions.
  We will provide further training for relevant technical knowledge and other management and leadership skills necessary to excel in the role and to enhance your professional development. You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients is at the heart of what we do.

Internal Controls

• Be a subject matter expert on our internal control environment.
• Provide insight and drive best practice in relation to Aztec’s internal control environment, sharing expertise and knowledge across all clients, products, and jurisdictions.
• Be an active member of the jurisdictional Risk and Controls Forums, co-ordinating the reporting up to the Group Risk and Control Forum.
• Develop, design and deliver checklist/control updates and new procedures in response to areas such as changes in regulation/legislation, feedback from the business, tech changes and new/emerging risks / incidents identified.
• Undertake a systematic review of all policies, procedures, and checklists to ensure they are robust, scalable, and meet the changing business requirements.
• Work with project teams to provide advice and expertise on the controls to be implemented as a result of i.e. technology changes.
• Assist with the delivery of the Aztec Group objective of achieving a clean ISAE 3402 audit,
• Collaborate with Process Optimisation and Digitalisation and Centre of Excellence teams to ensure effective controls remain in place during the transformation programme.
• Collaboration with Aztec Academy to ensure all core process training remains up to date and effective at communicating process risks, controls, and requirements.

Quality Assurance

• Assist with the design and development of the team QA Review plan, which is in line with the Team Quality Assurance Methodology.
• Co-ordination of testing plan and completion of end-to-end reviews (planning, testing, analysis, and reporting.
• Review and analysis of testing undertaken by other team members.
• Analyse findings and provide thematic feedback and recommendations for control adherence and effectiveness, leading to tangible benefits being realised.
• Work proactively with key stakeholders to help drive measurable improvements against areas identified in the reviews, to include specific training and development needs.

Team Management

• Actively manage, nurture, and develop a cross-jurisdictional team including acting as a mentor to direct reports, ensuring their objectives are aligned to the strategy of the team, and enabling them to achieve their full potential.
• Embraces diverse ideas and opinions from others, building trust, inclusive relationships, and open communication in a safe environment.

Other

• Demonstrate effective communications with the team and the business providing regular reporting feedback so that all targets are met, and stakeholders are engaged.
• Contribute towards the business, for instance, in identifying improvements and efficiencies that could apply across the business and liaising with the Business Improvement Team, IT and Risk teams to implement successfully.
• Ad-hoc tasks that may be required to be undertaken as part of a COO office or as the business requires.
• Ability to plan and prioritise workload and deliverables within target dates and distribute / delegate tasks to direct reports ensuring deliverables are achieved in line with the team’s plan.