Manager - Controls Testing (Regulatory Operations)
Core
Lead planning and execution of risk-based control testing to ensure regulatory compliance and continuous improvement of control effectiveness.
Role type
Manager, Controls Testing (Regulatory Operations)
Builds
Regulatory compliance outcomes and control effectiveness for a global securities exchange
Domain
Financial services / Securities exchange / Regulatory operations
Deliverable
client delivery
Required skills
Risk-based control testing, Operational risk, Compliance assurance, Control design assessment, Operating effectiveness evaluation, Remediation planning, Thematic analysis, Management reporting, GRC systems, Stakeholder engagement
Preferred skills
Control uplift initiatives, Trend identification, Large complex organization experience
Responsibilities
Plan and execute risk-based control testing across assigned areas, Apply standardized control testing methodology, Identify control weaknesses and support remediation, Engage with control owners to clarify control intent and effectiveness, Contribute to development of control testing standards and reporting, Support capability uplift and knowledge sharing
Seniority
Manager, hands-on leadership