• As part of the global UK Audit and Corporate Governance (UK ACG) programme, the purpose of the role is to support the Global IT & Third Party Lead to oversee / successfully complete the work in relation to IT Application Control testing for in-scope IT systems &/ or services. This includes the strategic design, workstream plans, design of testing procedures, performing SOX testing for in-scope third parties (including the review of SOC1 & SOC2 reports), and review / agreement of findings (including QA review and challenge) to drive subsequent remediation activities where required. • The Manager, IT Application Controls role sits within the UK ACG Third Party Controls sub-stream. The main responsibility of the Manager will be to support the Global IT & Third Party Lead in delivering the applications controls SOX compliance programme by performing an assessment of controls across IT applications in any in-scope business or function where they fall within the scope of the UK ACG programme • The candidate will need to have a good understanding of control requirements, preparation of test scripts, and the ability to design & test controls.
Responsibilities • Understand the workstream objectives and roadmap • Understand the control objectives and test procedures • Identify in-scope third parties supporting in-scope IT applications or in-scope business processes, e.g. financial reporting • Responsible for review control documentation, understand the control coverage and time period, check controls, assessing gaps • Responsible for preparing SOX supporting documentation for each in-scope application to include details of the control coverage, risks, deficiencies • Where required, support any remote or onsite audit of an in-scope third party • Arrange meetings to facilitate Control testing / validation • Involvement in subsequent QA of results as required • Diligently provide weekly and ad hoc reporting on the status of assessments • Maintain a register of control testing outcomes and control gaps
Business • Manage relationships with relevant stakeholders on related projects, collaborating closely. • Work closely with businesses and functions impacted by relevant projects to solve issues and spot opportunities as they arise.
Risk Management • Responsible for accurate risk reviews / identification of SOX control gaps / risks associated with in-scope applications or third party reviews
Head, Finance Operational Risk and Policy • Global IT & Third Party Lead • TTO CIO teams • ITAC application & test stream leads • Executive Director Third Party Controls • Accountable Executive / Functional Lead for any related projects / workstream(s) • UK ACG Project and Programme Managers • Project / programme steering committee stakeholders • Key Functions involved in related projects, which can include any combination of: Compliance, Regulatory Affairs, Finance, IT, Risk, Treasury, HR • TTO stakeholders, including those within Risk & Controls function
We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.
Together we:
In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.