The newly formed firmwide Testing Center of Excellence (TCOE) is an essential part of our Firm’s commitment to ensuring, through compliance and control testing, that we maintain a strong risk and control environment. Working closely with our partners across Risk Management, Compliance, Operational Risk and Control Management, our goal is to provide insights and opportunities to our business owners to help maintain a strong risk and control environment in support of their business delivery.

The TCOE brings together regulatory, process and control expertise across the globe into one firmwide organization focused on shared best practices, the development of innovative processes and tools, and committed to the continued advancement of the Firm’s Risk and Control framework. 

The CIB Markets Controls Testing Lead oversees a global team of individuals who execute a number of testing techniques focused on adherence to laws, rules, and regulations, end to end process execution reviews, evaluation of control design and performance, reporting to the Global Head of the Testing Center of Excellence (TCOE) for Markets. 

Job Responsibilities 

Lead the testing team effort in assessing and monitoring compliance and operational risks, ensuring compliance with firm standards, regulatory requirements, and industry best practices. Lead and develop the Markets TCOE team and deliver testing plan.  Partners with key stakeholders in Business units to perform control evaluations, monitoring and testing efforts across multiple business groups, technology domains, and operational functions to identify control gaps as well as opportunities for effectiveness and efficiency improvements. Recruit, develop and retain top risk and control talent.  Guide team in execution of risk-based control testing and substantive reviews.  Provide coaching and mentorship to a global team of professionals, serving as leader to the organization. Collaborating with other business testing leads to ensure consistency and identify integration points. Navigate regulatory and compliance landscape when defining assessment approach and strategy; ensure compliance assessment requirements across a complex regulatory environment are addressed through testing results. Participate in TCOE improvements and transformation as the organization develops and matures during its early stages. Management of budget and headcount to ensure efficient delivery of quality results.

Required Qualifications 

Solid knowledge and experience in Markets products, end-to-end business processes and controls. Solid experience or equivalent expertise in risk management, audit, compliance, control management or a related field with a strong understanding of industry standards. Sound proficiency in the Corporate and Investment Bank (CIB) industry. Proven track record in managing compliance, risk and controls at a senior level across multiple locations/regions. Experience in leading geographically diverse teams with a range of levels. Proven stakeholder management and ability to influence and drive at a senior executive level. Demonstrated ability to analyze complex issues, develop and implement risk mitigation strategies, and effectively communicate recommendations based on regulatory guidance and standards. Expertise in working with large sets of data and information to drive informed decisions. Demonstrated knowledge of risk management frameworks, regulations, and industry best practices Ability to effectively provide team guidance and set clear direction to manage competing priorities while driving focus on targeted execution.

Preferred Qualifications 

Experience in audit, compliance or control management  Data analytical tools such as Tableau, Altryx or Python Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), Certified Risk & Compliance Management Professional (CRCMP), or similar risk certifications.