Control Assurance Specialist

Our client, a prominent global asset management firm offering a wide range of investment solutions, is seeking a Control Assurance Specialist. Reporting directly to the Control Assurance Manager, the successful candidate will work autonomously while collaborating with a driven and highly competent team of risk and governance professionals. This role is ideal for someone adaptable, with the ability to maintain high standards across multiple disciplines. The incumbent will thrive in a challenging, high-pressure environment, gaining exposure at all levels of the organization.

Responsibilities:

1. Process and Thematic Reviews:

• Engage at various levels of the organization, both internally and externally
• Complete process and thematic reviews according to the Control Assurance plan
• Assess the adequacy of controls by reviewing process documentation, risk, and control self-assessments
• Suggest and agree on actions with Management to remediate any identified weaknesses
• Perform control effectiveness testing to ensure the implementation of suggested remedial actions / controls within processes / business areas
• Consider the outcomes of the risk management process (risk and control assessment, key risk indicators, feedback from Management) to assess areas for process and control improvements

• Review analysis and reporting of incidents across the organisation
• Analysis of incidents to determine root causes, trends and repeat incidents
• Review assessment and facilitation of the Operations Risk and Control Self Assessments and provide results into the risk management processes
• Provide input into key risk indicators for Operations and provide feedback into risk management processes

• Engage with ISAE3402 service provider and Management across the organisation to co-ordinate the delivery of control effectiveness testing across the business
• Provide challenge and oversight into the ISAE review process with regards to updates to processes and controls
• Engage with Management and the ISAE3402 service provider to facilitate workshops, walkthroughs, status update meetings, and report sign off

• Facilitate business readiness reviews and engage with Management to assist in internal audit reviews
• Assist with the facilitation of internal audit reviews and provide input into draft report observations
• Follow up on review findings and engage with the business to ensure that findings are closed out in a timeous manner

Qualifications, Skills & Experience:

• Tertiary qualification in Commerce / Certified Internal Auditor
• A minimum of five years working experience in financial services or asset management
• Internal audit or risk management experience preferred
• Excellent verbal and written communication skills
• Technical understanding of financial products and instruments
• Key abilities:
• Take initiative and work independently
• Be assertive and self-driven
• Build effective relationships externally and internally
• High tolerance to stress
• Work to process
• Accuracy

Competencies and Personal Attributes:

• Good problem-solving and analytical skills
• Ability to work under pressure with limited supervision
• Ability to maintain service standards
• Ability to work accurately and in detail
• Ability to work in a team environment
• Action-oriented
• Excellent planning and organizing
• Ability to liaise with all levels of management in a professional manner
• Confidentiality is an absolute requirement; any breach of confidentiality or honesty will not be tolerated