Internal Control Officer (Business Innovation & Delivery, Ptsa Operations, Channels Operations, Up Exchange Control Officer)

Internal Control Officer (Business Innovation & Delivery, Ptsa Operations, Channels Operations, Up Exchange Control Officer) at Pishon and Brooks Advisory Services

JOB PURPOSE

• The Business Innovation & Delivery, PTSA Operations, Channels Operations and UP Exchange Control Officer is responsible for supporting the implementation and effectiveness of internal controls across Business Innovation & Delivery, PTSA Operations, Channels Operations, and UP Exchange Operations.
• The role provides independent monitoring, control testing, operational risk assessments, compliance reviews, and exception reporting to ensure operational activities are conducted in accordance with approved policies, regulatory requirements, and internal control standards. The incumbent identifies control weaknesses, supports remediation efforts, and contributes to the continuous improvement of operational processes and the organization’s control environment.

DUTIES AND RESPONSIBILITIES:

Operational Control Monitoring

• Conduct risk-based control reviews across Business Innovation & Delivery, PTSA Operations, Channels Operations, and UP Exchange Operations.
• Perform walkthroughs and control testing to evaluate compliance with approved policies, procedures, and operational standards.
• Review operational workflows to identify control weaknesses, process inefficiencies, and operational risks.
• Review transaction processing, settlement activities, reconciliations, and exception management processes to ensure control effectiveness.
• Monitor operational performance against established control requirements and escalate identified deficiencies.
• Document findings and recommend practical control improvements.

Project and Change Control

• Review new operational initiatives, process enhancements, and technology implementations from a control perspective.
• Participate in reviews of user acceptance testing (UAT), deployment activities, and change management processes.
• Verify that appropriate controls are implemented before operational changes are introduced.
• Monitor post-implementation activities to ensure identified control issues are addressed.

Operational Risk and Compliance

• Monitor compliance with applicable regulatory requirements, internal policies, operational standards, and service level agreements.
• Review operational incidents, service disruptions, reconciliation exceptions, and operational loss reports.
• Monitor key operational risk indicators and identify emerging risks within assigned functions.
• Track audit findings, regulatory observations, and agreed management action plans.
• Escalate policy breaches, operational incidents, and control deficiencies in accordance with established procedures.

Reporting and Documentation

• Prepare control review reports, exception reports, and periodic management reports.
• Maintain accurate working papers and supporting documentation for all control review activities.
• Document testing results,