Sr. Principal Risk & Control Specialist

Nomura

7 - 11 years

20 - 25 Lacs

mumbai

Posted:5 days ago| Platform:

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Skills Required

change management manager internal audit data management operational risk incident management investment banking asset management wholesale financial services recruitment

Work Mode

Work from Office

Job Type

Full Time

Job Description

Provide Wholesale IT management with adequate risk and control reporting providing full picture of key risks and control metrics.

Perform oversight and challenge of the relevant IT activities to ensure they conform to applicable IT policies and procedures and the overall Operational Risk Framework.
Challenge technical teams controls and remediation actions to ensure they are effective and fit for purpose. Actions can be in response to Audit or regulatory findings, selfidentified issues, event or ineffective control remediations.
Provide local regional support to management in managing regulatory matters including regulatory inspections, assessment and tracking of regulatory and audit findings remediation activities and representing the area in regional management forums
Support technology teams with Internal and External audit activities, including advisement on audit requests, review of audit findings and proposed remediation actions, as we'll as challenging completeness and sustainability of completed actions.
Collaborate with regional Chief Control Office staff in assessing new regional regulations and its impact to Wholesale technology. Support regulatory inspections and inquiries.
Oversee and support the Risk and control Selfassessment (RCSA) process for WS IT Business Units ensuring appropriate challenge being provided to preserve the purpose of the framework.
Conduct deep dive analysis on key events and noncompliance areas
Support, and advice, Wholesale IT management on Technology Risk and Control framework including global IT policies standards mandates, key processes and exception management.
Improve overall IT Risk Control awareness across Wholesale IT
Participate in regional and local Risk and Control forums and governance bodies, as deemed necessary

Requirements:

bachelors degree in information technology or similar field
Minimum 7 years of relevant IT Risk Control experience within Investment Banking, Data and Operation function, Wealth Management or related environment.
Strong understanding of Operational Risk Framework and its components including Policies, Controls, Risk Taxonomy, Operational Events, RCSA, Targeted Risk Assessment amongst others.
Knowledge of the Three Lines of Defence model in financial industry.
Familiarity with Excel (Marco), Business Objects Reporting, Power Point, Power BI, GRC tools, ServiceNow, Confluence.
Collaborator with strong communication skills and ability to present to senior audience in IT and business, with strong adaptability and attention to details.
Able to think laterally and is comfortable with negotiating and securing buy in from key stakeholders.
Possess Strong analytical skills and an ability to quickly learn new products and systems, need to be able to thrive in a constantly changing environment.
One or more certification in CISA, CISM, CRISC, CISSP, or other IT governance, risk, or audit or security professional qualification.

Essential Skillsets/Experiences

Experience in design and supporting IT Governance, IT General Control, IT Security, Audit or Technology compliance framework.
Experience in external and Internal audit facilitation including evidence fulfilment, findings review and challenge and action adequacy.
Understanding of regulatory environment in APAC generally, and India specifically, and experience supporting regulatory activities including inspections and adhoc inquiries.
Experience in key technology processes including Incident Management Release and Change Management, SDLC, DevOps, Data Management, Asset Management and Cloud deployments.
Experience of current technology risks and ability to leverage trends to identify problem areas.
Exposure and engagement in risk reduction programs such as EoL remediation, Vulnerability Management, solution migration, DevOps transition (big plus)
Experience in technology risk assessment and knowledge of thirdparty vendor assessment
Experience and strong capabilities in presenting to senior audience, regulators and external parties

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