Nedbank Group Limited is a bank holding company that operates as one of the four largest banking groups in South Africa. The company's shares have been listed on the JSE Limited since 1969. The group offers a wide range of wholesale and retail banking services through four main business clusters, namely Nedbank Corporate and Investment Banking, Nedbank Retai...
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Job Purpose
- To deliver banking solutions to clients by understanding their business and needs through relationship management to achieve Nedbanks strategy to be the most admired bank.
Job Responsibilities
- Deliver banking solutions that meet client needs through understanding of client's business and needs through relationship management.
- Demonstrate an understanding of risk parameters by managing client relationships according to credit principles
- Improve results by tracking and analysing financial reports against agreed measures.
- Understand clients business and needs through proactive client relationship management according to portfolio mandate.
- Build relationships with internal stakeholders through communication and networking as determined by client needs.
- Collaborate with third parties by engaging with them as guided by requirements of solutions delivered to clients.
- Complete tasks through planning and reviewing against set targets.
- Manage resources (time, processes and support teams) to optimize value against client expectations.
- Comply with risk standards,policies and procedures through training and development as required by group complianceframework
- Research and analyse information by using problem solving techniques to propose solutions for work challenges.
- Support the achievement of the business strategy, objectives and values by reviewing Nedbank and Business Unit Plan and ensuring delivered systems, process, services and solutions are aligned.
- Identify training courses and career progression for self through input and feedback from management.
- Ensure all personal development plan activities are completed within specified timeframe.
- Share knowledge and industry trends with team and stakeholders during formal and informal interaction.
- Obtain buy-in for developing new and/or enhanced processes (e.g. operational processes) that will improve the functioning of stakeholders' businesses by highlighting benefits in support of the implementation of recommendations.
- Contribute to a culture conducive to the achievement of transformation goals by participating in Nedbank Culture building initiatives (e.g. staff surveys etc).
- Participate and support corporate responsibility initiatives for the achievement of business strategy (e.g.. Green Strategy).
- Seek opportunities to improve business processes and systems by identifying and recommending effective ways to operate and adding value to Nedbank.
Essential Qualifications - NQF Level
- Matric / Grade 12 / National Senior Certificate
Preferred Qualification
- Must have Degree in Business or Finance
- FAIS Accreditation Regulatory Examination Level 1.
Minimum Experience Level
- Must have 2-3 years in a relationship management or banking environment
Technical / Professional Knowledge
- Banking knowledge
- Banking procedures
- Business Acumen
- Business principles
- Business writing
- Communication Strategies
- Data analysis
- Governance, Risk and Controls
- Microsoft Office
- Nedbank policies and procedures
- Nedbank vision and strategy
- Principles of financial management
- Principles of project management
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Decision-making process
- Nedbank culture
- Cluster Specific Operational Knowledge
Behavioural Competencies
- Communication
- Energy
- Building Trusting Relationships
- Managing Work
- Sales Disposition
- Sustaining Customer Satisfaction
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Job Purpose
- To administer a portfolio of trusts, mainly testamentary, for the purpose of generating fees and leads as part of a full range of fiduciary services, in order to make Nedbank the great place to bank for our clients.
Job Responsibilities
- Adhere to company policies and procedures through appropriate investment of trust assets and overall trust administration.
- Keep up-to-date with legislation and regulation by reading up on the industry-related information.
- Ensure risks are minimised by following a checking and verification process.
- Ensure that there is no financial and reputational risk to the company by adhering to the internal knowledge base.
- Administer the client's trust in a professional manner in terms of the will or trust deed.
- Manage clients and beneficiary needs and their expectations by taking the appropriate action and delivering the required service in a timeous manner.
- Assist colleagues in trust-related problem solving by giving them advice on any specific query.
- Contribute to a culture conducive to the achievement of transformation goals by participating in Nedbank Culture building initiatives (e.g. staff surveys etc).
- Participate and support corporate social responsibility initiatives for the achievement of key business strategies.
- Identify and recommend opportunities to enhance processes; systems and policies and support implementation of new processes; policies and systems.
- Generate an income stream through fee-taking in a timely manner in order to meet company's financial goals.
- Identify new business opportunities/leads by getting to know our clients better.
- Provide an oversight of daily administration activities by checking and verifying data.
- Keep abreast of legislation and other industry changes that impacts on role by reading the relevant newsletters; websites and attending sessions.
- Understand and embrace the Nedbank vision and demonstrate the values through interaction with team and stakeholders.
- Improve personal capability and stay abreast of developments in field of expertise by identifying training courses and career progression for self through input and feedback from managers.
- Ensure personal growth and enable effectiveness in performance of roles and responsibilities by ensuring all learning activities are completed; experience practiced and certifications obtained and/or maintained within specified time frames.
- Ensure information is provided correctly to stakeholders by maintaining knowledge sharing knowledge with team
People Specification
Essential Qualifications - NQF Level
- Matric / Grade 12 / National Senior Certificate
Preferred Qualification
- Associated Financial Planner/Certified Financial Planner (FPI), LLB Degree.
Essential Certifications
Preferred Certifications
- Fiduciary Institue of South Africa or Financial Planning Institue.
Minimum Experience Level
2 - 5 years trust administration or fiduciary services, experience with:
- Setting up and administering trusts
- Interpreting trust deeds
- Compliance with FICA, SARS, and Master of the High Court requirements.
- working on adhoc projects.
Technical / Professional Knowledge
- Administrative procedures and systems
- Business writing skills
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Banking knowledge
- Banking procedures
- Cluster Specific Operational Knowledge
- Business principles
- Business terms and definitions
- Governance, Risk and Controls
Behavioural Competencies
- Customer Focus
- Applied Learning
- Work Standards
- Earning Trust
- Decision Making
- Quality Orientation
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Job Purpose
- To administer deceased estates and to add value to the business by referring sales leads to the rest of Nedbank Group so as to create holisitic value proposition for our clients
Job Responsibilities
- Explain the deceased estates administration process to the heirs and manage their expectations; by regular and ongoing communication.
- Receive all relevant documents from the heirs and send them to the relevant authorities for processing.
- Engage our internal clients (NFP; PFA) by keeping them up to date with regular progress report.
- Responding to client queries and complaints within 48 hours.
- Escalating complaints to Management.
- Foster professional relationships with beneficiaries; intermediaries and others.
- Finalise estates within a reasonable time to ensure client satisfaction.
- Keep abreast of legislation and other industry changes that impacts on role by reading the relevant newsletters; websites and attending sessions.
- Understand and embrace the Nedbank vision and demonstrate the values through interaction with team and stakeholders.
- Improve personal capability and stay abreast of developments in field of expertise by identifying training courses and career progression for self through input and feedback from managers.
- Ensure personal growth and enable effectiveness in performance of roles and responsibilities by ensuring all learning activities are completed; experience practiced and certifications obtained and/or maintained within specified time frames.
- Ensure information is provided correctly to stakeholders by maintaining knowledge and sharing knowledge with team.
- Ensure that internal control procedures are adhered to for instance : Making sure that all estates assets are insured against loss - Cash reconciliation statements are checked for correctness by management before any cash distribution - Get equity mandates from the heirs before liquidating any assets.
- Take control of the deceased assets and ensuring that thery are allocated to the lawful heirs .
- Update stats and have monthly meetings with Management to identify possible risks.
- Generate revenue by taking executor's fees.
- Refering sales leads relating to stockbroking; investments; short term insurance; trusts; tax; Wills; property sales to various departments in the group.
- Finalise estates within the shortest possible time to maximise profits by making use of statistics and progress reports.
People Specification
Essential Qualifications - NQF Level
- Matric / Grade 12 / National Senior Certificate
- Advanced Diplomas/National 1st Degrees
Preferred Qualification
- LLB / Post Graduate Diploma in Financial Planning.
Essential Certifications
- Fiduciary Institute of South Africa (FISA)
Preferred Certifications
- Fiduciary Institute of South Africa.
- Fiduciary Practioner of SA
- Trust and Estate Practitioner
- CFP
Minimum Experience Level
- 5 - 7 years in trust administration or fiduciary services.
- Proven experience managing complex trust structures of HNW clients including:
- Testamentary and inter vivos trust
- Offshore trusts
- Experience working with beneficiaries, trustees and legal advisors.
Technical / Professional Knowledge
- Microsoft Office
- Administrative procedures and systems
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Banking knowledge
- Banking procedures
- Cluster Specific Operational Knowledge
- Business principles
- Business terms and definitions
- Governance, Risk and Controls
Behavioural Competencies
- Customer Focus
- Work Standards
- Collaborating
- Communication
- Managing Work
- Building Partnerships
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Job Purpose
- Educate clients on the functionality of self-service digital solutions, whilst solving for their sales and service needs, in order to meet business goals and growing market share.
Job Responsibilities
Client Engagement:
- Respond to client needs by offering the right service and solution.
- Build client trust by applying your expertise and experience to do good for your client.
- Educate clients and potential clients on how to subscribe and service their account.
- Treat clients with respect, build trust, show care and humility in all client interactions.
- Help clients achieve their goals and grow financially.
- Own the client request end to end and route for alternative intervention if not equipped to service the client.
- Entrench clients and deliver value through cross selling.
- Facilitate the sales process by informing clients of the product features and benefits.
- Document client needs analysis and provide corresponding product solutions.
- Obtain referrals from existing clients as well as leads from other business units.
- Build, maintain and retain client relationships by keeping clients informed of progress or action taken regarding their applications, queries, and requests.
- Educate clients on the use of, secure, alternative, cost effective, time saving and convenient self-service channels.
- Collaborate with internal stakeholders to provide complete financial solutions for clients.
- Ensure great client experiences by making the client feel welcome, listened to, and owning and solving their financial problems.
- Ensure clients are onboarded in line with Nedbank's product strategy, policy, and procedure.
- Act with a client first mindset in all client engagements.
Nedbank Goals:
- Contribute to the success of Nedbank through meeting your service excellence, teamwork and personal development goals whilst adhering to Nedbank security, operational and compliance procedures, and policies.
- Develop, retain, and grow the business by delivering against individual and team goals that support a positive client experience.
- Increase market share of primary clients by entrenching clients through Core+ needs discussions, salary and debit order switching as well as enrolling clients on the various digital platforms.
- Identify and resolve work obstacles and problems through participating in team meetings, sharing information and reviewing performance against targets and standards.
- Ensure all sales activities are completed to plan, progress reviewed, and corrective action taken.
- Support the achievement of the sales and service strategy objectives and values.
- Enable Nedbank's strategy of being financial experts who do good.
- Covert leads into sustainable business for Nedbank in a responsible manner.
Risk and Compliance:
- Mitigate risks and meet legislative requirements (e.g. FICA, FAIS and Letter of Authority) by being accredited and updating and maintaining client information.
- Report suspicious transactions to the relevant department.
- Keep abreast of legislation and other industry changes that impacts on role by reading the relevant newsletters, communications, and training material.
- Manage risk by meeting technical, company standards, practices, and resource management (e.g. ultra-violet lights to identify false identity documents).
- Be a responsible employee by being compliant to Nedbank policies, controls, regulations, and banking legislation.
Essential Qualifications - NQF Level
Preferred Qualification
- FAIS Approved Qualification
Minimum Experience Level
- 1 - 2 years Retail/Banking Client Service, Sales, Relationship experience
Technical / Professional Knowledge
- Product sales skills
- Sales Strategies
- Product Knowledge
- Customer service principles
- Nedbank policies and procedures
- Customer relationship management
Behavioural Competencies
- Building Customer Loyalty
- Building Trusting Relationships
- Sales Persuasion
- Technology Savvy
- Planning and Organizing
- Adaptability
- Applied Learning
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Job Purpose
- To educate clients on the convenience, security and functionality of digital and self-service solutions; processing cash transactions and cash fulfillment (i.e.balancing and replenishment) and performing first line device maintenance in order to meet business goals and exceed the client expectations.
Job Responsibilities
Client Engagement:
- Address any concerns relating to the queue flow or digital devices.
- Assist client to download online applications and resolve any log in issues.
- Assist the client to buy value-added services (e.g. pre-paid data and airtime) online or through a self-service device.
- Assist the client to obtain statements, cards and other relevant documentation from self-service zones.
- Build and maintain client relationships by keeping clients informed of progress or action taken regarding their applications, queries and requests.
- Discover client's service and digital needs through connecting, understanding and delivering financial solutions with care.
- Educate clients and potential clients on how to subscribe and service their account.
- Educate clients on self-service, digital functionality and features.
- Facilitate a conversation with the client to assist them to complete their service needs online.
- Identify quality sales leads and enable cross-selling (without advising) through client engagement, fulfilling, making suggestions, referring to the relevant department for action and by capturing it on the client management system.
- Meet, greet, establish and clarify client needs and verify documentation and direct clients.
- Nurture strong, long-standing client relationships.
- Own the client request end to end and route for alternative intervention if not equipped to service the client.
- Provide knowledgeable client service that fosters mutual trust and confidence.
Business Operations:
- Accept and service cash transactions over the counter.
- Action control check list applicable to teller, enquiries and foreign functions daily.
- Balance and secure branch stock holding (e.g. cards).
- Control the queuing process and prioritise clients with special needs.
- Destroy old stock (e.g. cards) identified by reports.
- Enable the further processing of inter-bank transfers by preparing all transactional documents and originals (WASTE) in the required format by the required deadline for hand over to couriers.
- Ensure ATM/ID availability through balancing and loading of cash and attending to down devices by performing first line device maintenance support.
- Execute on cash management (i.e. Treasury and holdings), cash efficiency and recycling strategies within the store.
- Load cash, balance and provide first line device maintenance and replenishment of consumables of all store devices.
- Minimize losses and ensure corrective action is taken by declaring any discrepancies in cash holdings.
- Process client deposits, withdrawal, change for change and transfer requests by following relevant procedure and policies.
- Process client forex requests by following the relevant procedures and policies (e.g. FBN, bills and transfers).
Risk and Compliance:
- Mitigate risk by controlling counter and drop safe limits according to policy.
- Prevent fraud and losses by adhering to mandates, as well as client and transaction authentication procedures and policies.
Nedbank Goals:
- Act in the client's interest, inform the client, do what you say and promise, take accountability, and go the extra mile.
- Contribute to the success of Nedbank through meeting your service excellence, teamwork and personal development goals whilst adhering to Nedbank security, operational and compliance procedures and policies.
- Develop, retain and grow the business by delivering against individual and team goals that support a positive client experience.
- Improve digital enticement and migration volumes to self-service devices and online channels.
Essential Qualifications - NQF Level
Preferred Qualification
- Banking Services (example, Higher Certificate in Banking Services - NQF5)
Minimum Experience Level
- 1 - 2 years Retail/Banking Client Service, Cash, Technology Savvy, 1st Line Problem Resolution experience. Where applicable, Foreign experience.
Technical / Professional Knowledge
- Customer service principles
- Product Knowledge
- Problem solving skills
- Relationship management
- Nedbank security policies and procedures
- Governance, Risk and Controls
- Forex product
Behavioural Competencies
- Building Customer Loyalty
- Earning Trust
- Collaborating
- Managing Work
- Adaptability
- Stress Tolerance
- Continuous Learning
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Job Purpose
- To provide financial expertise and wealth creation advice to Nedbank clients in order to make Nedbank the great place to bank.
Job Responsibilities
- Analyse clients’ financial statuses to determine their expenses, income, insurance coverage, financial objectives, tax status, risk tolerance, or other information needed to develop a bespoke financial plan.
- Examine and suggest financial solutions and strategies for the financial plan (plan for life).
- Assist clients in implementing their plans and carry out financial transactions.
- Review clients’ portfolio's and plans on a regular basis to customize the financial plans according to clients’ changing life or economic circumstances, needs and requirements.
- Maintain updated knowledge of regulations, practices and financial products in order to maintain fit and proper status.
- Demonstrate an understanding of structuring, presenting and reviewing financial plans to individuals and legal entities.
- Displays knowledge of approved products and services and be able to continuously up-skill oneself on product and industry development.
- Understand the appropriate rules and regulations of the industry and the bank and the application thereof, maintaining full compliance.
- Building a sustainable and profitable practice.
- Participate and attend all business engagements to build and strengthen relationships.
People Specification
Essential Qualifications - NQF Level
- Matric / Grade 12 / National Senior Certificate
- Diploma
Preferred Qualification
- Certificate: Financial Planning
Essential Certifications
Preferred Certifications
Minimum Experience Level
- Role specific / 1 year experience / exposure in sales
Technical / Professional Knowledge
- Administrative procedures and systems
- Data analysis
- Relevant software and systems knowledge
- Relevant regulatory knowledge
- Banking knowledge
- Banking procedures
- Cluster Specific Operational Knowledge
- Business principles
- Business terms and definitions
- Governance, Risk and Controls
Behavioural Competencies
- Sales Disposition
- Building Trusting Relationships
- Energy
- Adaptability
- Continuous Learning
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Job Purpose
- To maximize sustainable revenue streams through the origination and implementation of profitable specialised debt financing transactions and transactional banking in various South African sectors.
Job Responsibilities
- Build strong working relationships with internal stakeholders by networking; fostering collaboration; regular communication and complying with the governance and controls.
- Build and maintain external stakeholder relationships by networking / conferencing; maintaining regular contact; ongoing communication; site visits and pitching and implementing ideas and solutions.
- Strong understanding of Transactional Banking, short term funding and trade finance products and services.
- Pro-actively originate, submit proposals / term sheets to existing and new clients and implement short term funding, trade finance and transactional banking transactions.
- Lead the sector strategy for Transactional Services by researching growth vectors in the sector and positioning it to management.
- Manage the budgeting process for the sector, performance against budget and relevant reporting.
- Execute credit approval process by preparing credit papers for annual reviews and new credit facilities, incorporating the business motivation, funding analysis, term sheet, rating; pricing, market and industry comparatives, etc.
- Ability to review and unpack financial models and conduct analyses thereon.
- Contribute to a culture conducive to the achievement of transformation goals by participating in Nedbank Culture building initiatives (e.g. staff surveys etc).
- Research and make recommendations for corporate citizenship initiatives in area of influence
- Participate and support corporate responsibility initiatives for the achievement of business strategy (e.g. Green Strategy).
- Seek opportunities to improve business processes; models and systems by identifying and recommending effective ways to operate and adding value to Nedbank.
- Ensure compliance by sanctions checking and adhering to (FICA; Internal and Environmental) regulations; policies and procedures.
- Execute Transactional Banking processes by understanding client requirements, preparing and presenting pricing papers through constructive communication and consultation.
- Manage deal implementation by structuring; negotiating and attending to legal matters and Conditions precedent (CP).
- Ensure ongoing risk management by reviewing risk annually; assessing performance; undertakings; client visits and engaging with internal and external stakeholders. .
- Improve performance of team by providing associates with on the job training; knowledge sharing and identifying suitable formal and informal training.
- Get involved in non-deal specific projects by providing expert advice and training; testing and implementing.
- Execute transactions by structuring; analysing; negotiating; managing and pitching the deal.
- Manage costs and contribute to Business Unit cost efficiency by operating within the allocated budget.
- Support the achievement of the business strategy; objectives and values by reviewing Nedbank and Business Unit Plan and ensuring delivered systems; process; services and solutions are aligned.
- Improve personal capability and stay abreast of developments in field of expertise by identifying training courses and career progression for self through input and feedback from managers.
- Ensure personal growth and enable effectiveness in performance of roles and responsibilities by ensuring all learning activities are completed; experience practiced and certifications obtained and/or maintained within specified time frames.
- Enable skilling and required corrective action to take place by sharing knowledge and industry trends with teams and stakeholders during formal and informal interaction.
- Obtain buy-in for developing new and/or enhanced processes (e.g. operational processes) that will improve the functioning of stakeholders' businesses by highlighting benefits in support of the implementation of recommendations.
Essential Qualifications - NQF Level
- Advanced Diplomas/National 1st Degrees
Preferred Qualification
- Chartered Accountant (SA), Chartered Financial Analyst, Masters Degree in Commerce, Sciences, Legal or other relevant field
Minimum Experience Level
- 8-12 years relevant sector / industry experience is preferable
Technical / Professional Knowledge
- Banking procedures
- Business Acumen
- Industry trends
- Microsoft Office
- Principles of project management
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Risk management process and frameworks
- Business writing skills
- Cluster Specific Operational Knowledge
Behavioural Competencies
- Customer Focus
- Work Standards
- Building partnerships
- Advancing Sales Discussions
- High-Impact Communication
- Managing Work
- Sales Disposition
- Sales Negotiation
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Job Purpose
- To provide strategic leadership and guidance to teams by providing independent assurance of the control environment to the Nedbank Group Audit Committee and ensuring effective risk management practices are implemented across Nedbank. In addition, to lead and manage strategic and operational relationships with internal and external stakeholders to enhance the effectiveness, influence, and credibility of Group Internal Audit (GIA).
Job Responsibilities
- The Senior Audit Manager: Financial Crime – Exchange Control, Fraud & Regulatory Risk, in the discharge of his/her duties, shall be accountable for:
- Support the reporting and effectiveness of the governance, risk, and internal control framework to appropriate governing bodies.
- Comply with regulatory and corporate governance expectations of internal audit functions.
- Accountable for the delivery and measurable performance of their respective portfolio including audit execution where required.
- Lead and mentor a high-performing team of specialists.
- Foster a culture of integrity, accountability and continuous improvement.
- Collaborate across GIA and the other lines of defence across the Group to ensure a coordinated approach to risk management.
- Have in place a robust process to follow-up management’s agreed actions to address issues raised by the team.
- Develop and maintain relationships with stakeholders to support timely and insightful and quality outcomes.
- Create an environment of teamwork and collaboration that contributes to the success of the wider Group Internal Audit (GIA) goals.
- Contribute to the development of the audit plan using a risk-based methodology with consideration for current and emerging risks.
Essential Qualifications - NQF Level
- Advanced Diplomas/National 1st Degrees
Preferred Qualification
- Certified Internal Auditor , Advanced Diplomas/National 1st Degrees
Essential Certifications
- Bachelor’s degree in law, Finance, Risk Management, CIA or other relevant qualifications.
Minimum Experience Level
- 8-10 years of experience with at least 5 years in a senior leadership role.
- Proven experience in fraud risk, exchange control, regulatory compliance within a banking environment.
Technical / Professional Knowledge
- Accounting standards
- Change management
- Financial Accounting Principles
- Governance, Risk and Controls
- Principles of project management
- Relevant regulatory knowledge
- Risk management process and frameworks
- Strategic planning
- Institute of Internal Auditors standards
- Code of Ethics
Behavioural Competencies
- Building Partnerships
- Earning Trust
- Coaching
- Communication
- Driving for Results
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Job Purpose
- To provide strategic leadership and guidance to teams by providing independent assurance of the control environment to the Nedbank Group Audit Committee and ensuring effective risk management practices are implemented across Nedbank. In addition, to lead and manage strategic and operational relationships with internal and external stakeholders to enhance the effectiveness, influence, and credibility of Group Internal Audit (GIA).
Job Responsibilities
ACCOUNTABILITY OF THE SENIOR AUDIT MANAGER
The Senior Audit Manager – CIB Digital , Data and Strategic Transformation, in the discharge of his / her duties, shall be responsible, inter alia, to the Head of Audit / Portfolio Executive / s to:
- Support the reporting on the overall effectiveness of the governance, risk, IT / data and internal control framework and reporting of significant issues related to processes and controls of the Group and CIB, to appropriate governing bodies, including the Audit, IT and Risk Committees.
- Comply with regulatory and corporate governance expectations of the internal audit functions.
- Report significant Digital issues related to the processes for controlling the activities relating to Corporate Investment Banking, including potential improvements to those processes.
- Have a robust process in place to follow-up and report on management’s progress in implementing agreed actions to address Digital issues identified by GIA.
- Responsible for the delivery and measurable performance of their respective Digital and IT audit portfolio for CIB, including audit plan formulation and delivery.
- Apply judgement to provide an overall audit opinion on the Digital and IT system of internal controls for CIB Cluster, including implemented emerging technologies and dashboards, and provide insights from the outcomes of internal audit work to governing bodies.
- Able to apply cutting edge tools, techniques and emerging technologies within audit engagements and demonstrate an ability to understand, analyse, visualise and manipulate data to provide meaningful business insights.
- Lead initiatives to integrate the GIA and CIB digital and data strategy into the broader CIB audit team within GIA, by: providing guidance and mentorship to ensure efficient, effective and quality audit delivery with digital and data enhancements and continuous audit solutions; and by providing challenge to audit scope, risk and control assessments and reporting process and documents relating to digital, data and emerging technology risks and controls.
- Develop and maintain relationships with business and key stakeholders (regulators, external auditors etc) to ensure robustness and completeness of audit coverage and contribute at an insight generator/trusted advisor to business to enhance assurance provided of the control environment.
- Contribute to the development and reporting on a 12-month/quarterly rolling Digital strategy and audit plan for CIB using a risk-based methodology, emerging technologies, continuous audit objectives and taking into consideration specific business strategic focus areas, regulatory requirements pertaining to internal audit, as well as including any risks or control concerns identified by management, the GAC and the Board.
- Provide visionary and inspirational leadership, driving innovation and empowering teams to recommend tailored solutions to business unit specific problems / findings, through coaching and mentoring practices.
- Create and foster an environment of teamwork and collaboration and facilitate engagement and information sharing sessions amongst peers. Drive digital and data integration and synergies into the broader CIB audit team within GIA to ensure audit processes are optimised.
Essential Qualification
- Minimum required qualification: BSc Computer Science, BCom Informatics or other related degree.
- CISA; CRISK; CISM; CISSP; CGEIT (or another relevant IT Qualification)
- Preferably a CIA or other relevant qualifications.
Minimum Experience Level
The following minimum experience is required:
- 8 – 10 years financial services experience, with at least 3-4 years of CIB specific experience.
- At least 2 – 4 years’ experience leading and managing diverse teams within an assurance function at a senior managerial level
- Digital audit experience in a Banking institution.
- CIB Business acumen across Trading and Lending environments.
- Working knowledge of financial markets in Investment banking, Asset management, Global Markets and London business unit is highly advantageous.
- A comprehensive understanding of relevant financial services, regulatory frameworks and compliance requirements as well as practical experience of these.
Technical / Professional Knowledge
- Accounting standards
- Change management
- Financial Accounting Principles
- Governance, Risk and Controls
- Principles of project management
- Relevant regulatory knowledge
- Risk management process and frameworks
- Strategic planning
- Institute of Internal Auditors standards
- Code of Ethics
Behavioural Competencies
- Building Partnerships
- Earning Trust
- Coaching
- Communication
- Driving for Results
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Job Purpose
- To deliver on the annual/quarterly audit plan thereby providing reasonable assurance to stakeholders that key risks are being mitigated through adequate and effective management controls in accordance with Group Internal Audit (GIA) methodology.
- Specific focus for the role is the delivery of the audit plan relating to the Global Markets and Treasury areas of CIB, including the key risk related to market and operational risk in these trading areas.
Job Responsibilities
The Audit Portfolio Manager, in the discharge of his/her duties, shall be accountable for:
- Performing audit fieldwork in terms of the audit program, and initial review of audit fieldwork delegated to more junior audit staff.
- Documenting the audit testing performed, drafting of the audit report and providing insights from the outcomes of internal audit work to appropriate governing bodies, including the GAC and Board Risk Committee
- Evaluating and monitoring of corrective actions taken to address control weaknesses identified.
- Attendance at key risk committee and technical risk committee meetings where relevant.
- Able to demonstrate a competent articulation of the products and risks related to the CIB business.
- Create an environment of teamwork and collaboration that contributes to Group Internal Audit (GIA).
- Ensuring continuous improvement of the quality of audits through providing professional insights and seeking out best practice information to provide customers with world-class perspectives and solutions.
- Develop and maintain relationships with business and key stakeholders (regulators, external auditors etc) to ensure robustness and completeness of audit coverage and contribute at an insight generator/trusted advisor to business to enhance assurance provided of the control environment.
- Ensuring that billable hours, budgets, and resources are optimally planned and monitored, and quality audits are delivered.
Preferred Qualification
- Preferably a CA(SA) with Internal Audit experience (or External Audit Banking exposure).
- Preferably a CIA or other relevant qualifications.
- Chartered Financial Analyst and/or a post graduate degree would be advantageous.
- Minimum Experience Level
The following minimum experience is required:
- 5 - 7 years financial services experience; with at least 2-4 years of CIB specific experience
- Ability to operate independently with minimal supervision;
- 2 – 4 years’ experience in a managerial position within an assurance function.
Types of Exposures
- Banking and CIB experience is essential, with Global Markets and/or Treasury segment experience preferable.
- CIB business acumen across Trading, Lending, Market Risk and Treasury environments.
- Working knowledge of financial markets in Investment banking, Global Markets and Treasury units is advantageous.
- A good understanding of relevant financial services, regulatory frameworks and compliance requirements as well as practical experience of these.
- Working knowledge of market risk management and related statistical, financial, risk and quantitative methods would be preferable;
- Understanding of credit, operational, market and liquidity risk models as defined by Basel II & III will be advantageous
- A comprehensive understanding of relevant financial services regulatory frameworks and compliance requirements as well as practical experience of these.
- Knowledge relating to Corporate Investment Banking including Market Risk.
Technical / Professional Knowledge
- Audit reporting
- Audit standards and practices
- Banking knowledge
- Governance, Risk and Controls
- Ethics and Fraud
- Reputational risk management
- Information technology
- Business writing skills
- Regulatory, Legal and Economics Principles
- Business Acumen
Behavioural Competencies
- Managing Work
- Monitoring Information
- Building Partnerships
- Quality Orientation
- Continuous Improvement
- Work Standards
- Courage
- Adaptability
Method of Application
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