AVP/VP, Internal Control

Responsibilities:

• Lead internal control activities for assigned control areas, ensuring compliance with relevant regulatory expectations and internal policies.
• Manage and develop a small team (2 direct/embedded colleagues): set priorities, review work quality, coach, and ensure delivery against timelines.
• Own control design and effectiveness: update control documentation, remediate gaps, and ensure controls remain fit for purpose as business processes change.
• Plan and execute control testing (e.g., pre/post controls, reconciliations, approvals, monitoring of limits/escalations, key operational workflows).
• Drive issue management and remediation: track findings, root-cause analysis, manage action plans, and confirm sustainable closure.
• Support governance and reporting: prepare management reporting for internal committees and coordinate responses to internal/external audit requests.
• Partner with stakeholders to implement control enhancements, including system/process changes and training/communications as needed.
• Promote control culture: reinforce accountability, standardization, and documentation discipline across teams.

• 8+ years of experience in internal controls, operational risk, audit, compliance testing, or related functions within financial services.
• Strong understanding of corporate investment banking processes and control frameworks (e.g., trade lifecycle support, reconciliations, approvals, valuations, corporate actions, settlements, regulatory reporting, or related operational controls).
• Demonstrated capability to lead a small team and influence stakeholders without relying solely on authority.
• Experience with controls testing and remediation: scoping, sampling approach, documentation, root-cause analysis, and evidence-quality management.
• Strong working knowledge of risk and governance concepts and comfort navigating regulatory expectations and audit processes.
• Excellent communication skills-able to translate complex control findings into clear recommendations and risk narratives.
• Proficiency with productivity tools and documentation workflows; familiarity with control management tooling is a plus.