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Head of Governance (Audit, Risk and Compliance) at Morgan McKinley
Job Description Summary:
Provide specialized in-depth subject matter expertise and is responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. May act as a specialized resource on audits, based on subject matter expertise. Lead and/or provide supervisory oversight to complex audits and ensure completion.
Key Accountabilities:
Customer:
* Contribute to the strategic direction of the audit function and play a key role in the development and implementation of programs
* Plan, lead / manage and/or oversee audit activities requiring alignment across multiple areas, and ensure audits are executed and completed in accordance with established standards and within prescribed parameters
* Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
* Oversee/lead the ongoing audit communications and/or the reporting process with the client, senior management and external auditors for specific and/or overall Audit area
* Provide direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
* Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas
* Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management
* Facilitate key discussions and provide thought leadership to executive audience
Shareholder:
* Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
* Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
* Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
* Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
* Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
* Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Accounting/Auditing
* Industries
Investment Banking
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