Global Technology Controls Office (CTCO) exists to ensure the robust control and resiliency of the Firm’s computing environment, protect customer and employee confidential information, and comply with regulatory requirements globally.
Execution and delivery within the business context is achieved through active collaboration with line of business Technology Controls Officers (TCOs) to provide high quality security solutions and services that are focused on improving the Firm’s risk posture. Consistency, standardization and scalability is achieved through a model of locally deployed leadership and capability which provides integration for domain and business line functions at a regional level.
We are the 1st Line of defence function, responsible for Controls governance and oversight as well accountable for driving the effectiveness of our technology controls. Working in partnership with our CIOs, CTOs, ADMs, DBAs, etc. we provide the Framework, methodology, tools and expertise to help design and embed a robust world class controls environment.
The Technology Controls Analyst, operating from India, is part of the EMEA Technology Controls team and has three main areas of responsibility.
Firstly the analyst will provide tracking and reporting capability to support the activities of the Regulatory Risk team, performing analysis of data and producing monthly reports. In addition the role will provide administrative support to the team, creating and maintaining standard templates, organising initial meetings for regulatory engagement and producing draft documentation.
The second key responsibility is to provide analytical support to the Location Control Assessment (LCA) team. The assessment process requires large volumes of data to be reviewed, analysed and matched across data sets to identify exceptions and create summary reports for the assessors.
The candidate will identify opportunities to develop tools and processes to streamline the LCA process and drive efficiencies.
The third key aspect of the role is to drive and execute the EMEA Legal Entity (LE) refresh process.
This process leverages data sets across the firm and creates a view as to which systems are used in each of the countries and legal entities that make up the EMEA region. Additionally the role will drive the implementation of a governance framework for the “attestation” process and ensure LE data quality is maintained across all regions.
Success requires a combination of organisational and execution skills, data analysis and manipulation, project experience and experience with the Microsoft Excel, Access and optionally SQL server.
- Regulatory Tracking and Reporting
o Running metrics data from SharePoint for monthly reporting (e.g. export to excel then trend analysis and reporting)
o Support the development of formal process documentation to improve efficiency for regulator engagements in EMEA e.g. standard communication templates, defined scoping questions, tiering of regulator engagements
o Drafting weekly / monthly reporting
o Administration of the kick-off of Regulatory engagement meetings
o PMO responsibility for Steering group for larger engagements (e.g. minutes, post meeting comms)
o Secretariat for Monthly Regulatory and External Audit meetings (e.g. collating deck, distributing materials, drafting minutes and actions, follow-up on meeting actions)
o Follow-up with action owners on open Regulatory action items
- LCA Optimisation and Analysis
o Analysis of data sets used in the assessment of controls compliance for EMEA Location Control Assessments (LCAs).
o Development of techniques and tools to optimise the processing and analysis of data used in the LCA processes.
o Creation and maintenance of reports used in the execution of scheduled Location Control Assessments as part of the ongoing EMEA framework.
- Drive and execute the EMEA Legal Entity Refresh process and the governance of “attestation” and Legal Entity data quality program across all regions
Key Technology Skills
- Microsoft Excel
- Optionally SQL server.
Key Soft Skills
- Strong communication skills – create effective partnerships with colleagues. Have the ability to communicate detailed metrics succinctly
- Strong diversity skills – ability to communicate effectively with people from various regions, countries and religious beliefs
- Demonstrate and foster teamwork – ability to work alone andas part of an EMEA-wide team and to make positive contributions
- Precision – ability to provide concise materials whilst maintaining the holistic risk view
- Analytical – ability to view varied sources of data for integrity in order to provide a good understanding of the detail and accuracy
- Documentation – ability to produce clear, concise, relevant and accurate documentation based on captured requirements and information gathered from stakeholders and subject matter experts
- Motivated – displays drive, energy and enthusiasm. Result driven with proven track record