Head of Quality Assurance and Continuous Improvement Officer

13th January 2017
Job Type


Key Responsibilities:

  • Ensure that internal audit complies with the expectations and requirements of the supervisory bodies, internal audit professional standards, and with the internal audit framework;
  • Provide assurance to relevant senior management and governance bodies that audit work results in quality outputs and risk identification;
  • Achieve quality assurance and continuous improvement objectives through contribution of information and analysis to strategic plans and reviews in a transparent and timely manner;
  • Develop and implement local Audit policies and procedures in line with central methodologies which also ensure compliance with the US regulatory environment and needs;
  • Deliver training, as needed, to local audit staff on the function’s process and procedural changes;
  • Contribute to continuous process, policy and practice improvement and quality outputs through oversight and management of monitoring and quality assurance processes within Internal Audit North America;
  • Identify opportunities and implement effective, efficient and standardized support processes for the most reliable tracking and reporting methods;
  • Identify and report risks, poor practices and non-compliance with internal and external policies and procedures with recommendations for improvements
  • Understand the implications of any legislative or other changes which may impact the management of quality and risks within the organization and act to provide advice and practical assistance on the application and implementation of change management for adherence to those requirements;
  • Manage the delivery of the annual QA cycle and those Internal Audit staff who support it;
  • Support the development of positive internal networks that foster quality, risk management and compliance;
  • Ensure the audit function is working optimally to maintain the standards needed to meet internal and external expectations;
  • Assist in the preparation and delivery of Risk and Audit Committee materials on a continuous basis;
  • Process and maintain highly sensitive and confidential information of a complex nature in a manner that inspires trust and confidence;
  • Improve personal and professional development by keeping up-to-date with changes in financial services and products and maintaining relevant certifications.

Key Requirements:

  • Bachelor’s Degree required.
  • 7 + years' experience in Audit or relevant Financial Services experience;
  • Minimum of 3 years’ experience in Continuous Improvement and Quality Assurance, leading change initiatives with a demonstrated understanding and application of the concepts and tools leveraged to achieve significant results;
  • Demonstrated ability to manage the implementation of continuous improvement and quality assurance strategies within a complex organization;
  • A sound understanding of the legislation and practices applicable in the local and relevant global environments to ensure compliance with and adherence to internal and external regulations, and risk-based auditing and compliance standards;
  • Effective time management and organizational skills, and the ability to manage competing demands;
  • Ability to use initiative and think laterally and strategically;
  • Collaboration, resilience and the ability to adapt to a changing environment;
  • Deep commitment to team work, continuous improvement and quality culture;
  • Demonstrated interpersonal skills, including strong verbal and written communication skills and the ability to speak with confidence to senior members of management and the wider internal audit staff;
  • Effectively manages conflict with positive outcomes;
  • Masters or other graduate-level degree or professional certification preferred.
  • The combination of Certified Public Accountant (CPA) and Certified Information Security Auditor (CISA) preferred.

If you require any more information please contact Greg Pallay: gregorypallay@bsmgroup.com; 646-618-8862

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