Director, EIT Asia Testing Manager
Bank of America Corporation
Hong Kong
28天前

About Bank of America Merrill Lynch :

Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 40 countries.

In the U.S alone, we serve almost all Fortune 500 companies and approximately 59 million consumers and small-business customers.

We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the World

Our Asia Pacific team is spread across 23 offices in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities.

Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region’s leading financial services companies.

Bank of America Merrill Lynch is committed to attracting, recruiting and retaining top diverse talent from across the globe.

Our diversity and inclusion mission is to actively promote an inclusive work environment where all employees have the opportunity to achieve personal success and contribute to the growth of our business.

Each of our global Employee Networks bring together employees, create dialogue and awareness in support of our Diversity and Inclusion mission.

Bank of America Merrill Lynch is an equal opportunities employer.

Position Description

The primary purpose of this role is to create a single point of contact (senior manager) for ENTERPRISE INDEPENDENT TESTING (EIT) in the Asia region.

The Testing Manager is accountable for leading a team that provides test execution for the Independent Testing Function.

A test is defined in the Independent Testing Enterprise Policy as an independent point-in-time examination of one or more processes, controls, policies and procedures or data sources utilized for managing risk to assess the effectiveness of the control environment.

A test is focused on answering a specific objective and has a pre-defined pass / fail criteria. Testing may include activities such as automated surveillance and transaction level testing and may be performed onsite.

The Testing Manager, in collaboration with EIT Functional areas and test owners, ensures accountability for the completion of testing activities in alignment with the Independent Testing-

Enterprise Policy & Standard in a timely manner.

The Testing Manager consults with EIT Functional leads to execute an effective testing program per requirements. This role contributes to the identification of themes and trends at the front line unit, control function and enterprise level.

This role participates in routines involving FLU / CF Compliance, Audit and regulatory agencies.

The Testing Manager provides leadership direction to attract, assess, develop, motivate and retain a successful team. This role ensures consistent quality of activities, processes and outputs by establishing effective review of practices across the team.

Key Responsibilities

  • This role is responsible for daily compliance surveillance of the GBAM division. Daily interaction occurs with senior compliance and supervisory management.
  • Work closely with Line of Business Compliance and Risk on maintenance and new test population and test development and the requisite completion of related pilot testing.
  • A test is defined in the Independent Testing Enterprise Policy as an independent point-in-time examination of one or more processes, controls, policies and procedures or data sources utilized for managing risk to assess the effectiveness of the control environment.

    A test is focused on answering a specific objective and has a pre-defined pass / fail criteria. Compliance testing may include activities such as automated surveillance and transaction level testing.

  • The Testing Manager is accountable for quality testing execution, reporting and analysis of results. This role may participate in test script development and test design.
  • The Testing Manager contributes to the identification of themes and trends at the front line unit, control function and enterprise level.
  • This role is an individual contributor in the Test Execution function.
  • Key Requirements

  • Degree Required : Bachelor’s Degree or Equivalent
  • Minimum Years 10 Years’ experience within Compliance Testing Function
  • In-depth understanding of auditing and / or testing methodologies and techniques
  • Interpersonal leadership and influencing skills.
  • Strong oral and written communication skills
  • Preferred candidates with understanding of business, markets and products : FICC, FX Equities, Derivatives and Commodities
  • Ability to handle multiple compliance projects in a dynamic environment and regional team setting.
  • Experience using surveillance tools such as SMARTS and Actimize Surveillance
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