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Clearing and Settlement Analyst
DWS Investment
posted 2mon ago
Job Role Insights
Key skills for the job
Job Description
- To assist with the management of the organization s Operational Risk framework by performing Control Effectiveness Testing against the controls identified within the Risk and Control Inventory process. This will enable support of the Bank s strategic objectives by providing meaningful insight and guidance to a range of internal stakeholders across the Trade Settlement Confirmations process.
- This role is exclusively for candidates who have experience in Investment and Corporate Banking products, internal control testing.
- As an Associate, you will be responsible for providing teams with an informed opinion on the effectiveness of controls they operate and how to mitigate operational risks.
- You will undertake testing of controls to validate designs, operating effectiveness and sustainability of controls operated by Banking Operations team/s.
- You will need to articulate findings from testing work and raise issues where appropriate and agree actions plans to mitigate risks identified.
What we ll offer you
As part of our flexible scheme, here are just some of the benefits that you ll enjoy
- Best in class leave policy
- Gender neutral parental leaves
- 100% reimbursement under childcare assistance benefit (gender neutral)
- Sponsorship for Industry relevant certifications and education
- Employee Assistance Program for you and your family members
- Comprehensive Hospitalization Insurance for you and your dependents
- Accident and Term life Insurance
- Complementary Health screening for 35 yrs. and above
Your key responsibilities
Operational Risk Controls Testing
- Independently perform the Control Assurance Testing against the requirements - Design and Operative effectiveness testing
- Determine that these controls are in line with the organization s assurance approach and with respect to requirements derived from various regulations.
- Support the effective remediation of identified Control Deficiencies owned by the operations, including the review of planned actions, the ongoing monitoring of implementation measures and the re-assessment after completion.
- Liaising with internal teams to understand processes and controls, to ensure greater compliance with Regulatory requirements and drive increased adherence to regulatory compliance
- Maintain a structured testing plan to include method, levels of sample testing, stakeholder engagement and timelines for completion, follow up meetings, documented findings, and agreement on remedial action plans.
- Articulating verbally and writing Controls Testing reports with minimal supervision
- Delivering Controls Testing reviews in line with quality and timeline expectations - accountable for the accuracy of data in the Controls Testing templates
- Developing and maintaining relationships with stakeholders, and represent the Controls Testing Execution team in meetings, working groups etc., as required
- Delivering quality outputs and own assigned tasks with a proactive approach
- Escalating issues with proposed solutions to the team lead in a timely fashion
- Coaching more junior team members to improve their skills
- Establishing and maintaining collaborative relationships with staff (e.g., Operations, Risk officers etc) as required to drive the completion of testing activity
Your skills and experience
The role requires the individual to have experience in conducting QA reviews as follows
- Have a minimum of 8 - 10 years of experience in the field of Operational Risk Management, experience or understanding of 1st and 3rd Lines of Defense is an advantage
- Have experience in Investment and Corporate Banking products
- Are fluent in English both written and spoken.
- Have excellent open communication and presentation skills, self-motivated, self-starter.
- Can identify the required data and perform an analysis, from a variety of source systems/processes
- Have excellent writing skills; can convey complex messages in simple ways both orally and on paper
- Are a team player able to build effective working relationships and operate. independently in a global environment
- Have a structured working style and are pro-active.
- Are fact based and solution oriented.
- Understanding of Operational Risk Control Testing principles
- Experience in running effective Operational Risk Control Testing reviews
- Ability to remain objective and independently assess processes in operational areas
- Ability to communicate and maintain an effective working relationship with the various Ops teams
- Inquisitive and probing approach to problem solving and general assessment
- Strong analytical skills, high attention to detail, solid organizational and interpersonal skills
- Strong ability to interact with, collaborate, communicate, and influence individuals at all levels
- Effective problem solving and decision-making capability
- Experience operating in a complex, global environment
- Excellent written, oral, and presentation skills
- Profound knowledge and experience of various Operational risk environments within Corporate Banking divisions
- Ability to work in fast-paced environment
- Open minded, able to share information, transfer knowledge and expertise to team members
- Keeps pace with technical/operational innovation maintains understanding of the Investment and Corporate Banking processes/products
- Proficient with MS Office programs (Excel, PowerPoint, Word, etc.)
- Education / Qualifications Bachelor s degree level or equivalent qualification / work experience
How we ll support you
- Training and development to help you excel in your career
- Flexible working to assist you balance your personal priorities
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- A range of flexible benefits that you can tailor to suit your needs
Employment Type: Full Time, Permanent
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