APAC Entity Controls Testing Manager

2 months ago

Sydney, Australia 023 Northern Trust Company Australia Full time

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Role/ Department:

Entity level control testing is a key first line of defence (1LOD) area of focus across Northern Trust – we are committed to continuously improving our operational control and governance practices and ensuring that they are aligned across our business’ and legal entities. Building on the establishment of the APAC Entity Control function, we are now looking at expanding the scope of the function to include testing of the design and operating effectiveness of controls across Asset Servicing entities within APAC.

Reporting to the Asset Servicing APAC Entity Head of Controls, the APAC Entity Control Testing Manager is responsible for the implementation of Northern Trust’s 1LOD control testing program within APAC. They act as the interface with the Global Asset Servicing 1LOD Centralised Control Testing Centre of Excellence (COE) and collaborate with 2LOD functions, helping to ensure that control testing delivered at an entity level is in compliance with operational, regulatory, and company guidelines, policies, and procedures.

The key responsibilities of the role include:

  • Establish the control testing plan for APAC entities and the timely execution of the associated testing and assurance to strengthen Northern Trust’s control environment.
  • Support the development and delivery of an integrated control testing calendar across APAC .
  • Implement sampling methodologies and requirements designed and deployed by the Global Control Testing COE
  • Support business units with control validation and monitoring across the APAC region.
  • Prepare and deliver clear, concise, and actionable reporting to senior leadership and governance committees.
  • Work closely with leaders across APAC and the enterprise, in all three lines of defence, to support the continued maturation of the control environment.
  • Collaborate with other 1LOD control testing teams in APAC/ Manilla, responsible for supporting the execution of the risk-based control testing plan.
  • Proactively identify and implement testing automation and analytics where appropriate.
  • Perform continuous monitoring with improvement planning.

Skills / Experience:

  • Bachelor’s degree, 7+ years of operational risk management and/or control experience in financial services.
  • Significant experience in relevant control testing, regulatory, examination or Internal Audit experience
  • Strong understanding of control frameworks, testing methodologies, and risk assessments
  • Highly effective interpersonal and communication skills and proven ability to positively influence all levels of personnel, including senior leadership.
  • Ability to work under pressure, manage multiple tasks and competing priorities, meet deadlines, and adapt to change; comfortable dealing with ambiguity and uncertainty
  • Ability to move people to act (e.g., convening, structuring, owning the agenda and facilitating meetings and workshops to lead groups to agreement and commitment to execute)
  • Self-motivated with strong collaboration and influencing skills
  • Excellent critical and creative thinking, decision-making and innovative problem-solving skills
  • Experience leading and developing team members
  • Experience in financial services industry, including regulatory experience

Please note that this role may require the successful candidate to travel to other NT locations as required.

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies Build your career with us and apply today. #MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.

We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.

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