Business Risk and Controls Senior Assoicate - BPM / RCSA
Wells Fargo
Hong Kong, Singapore, Hong Kong

Market Job Description

Specific Responsibilities :

Performs and manages Front Line Responsibilities for the Regional International Business Process Management (BPM) / Integrated Process Risk and Control (IPRC) programs as follows :

  • Provides input into the business process risk ranking effort to determine whether a process is high, moderate or low ranking.
  • Identifies and documents risks, controls and self-assurance activities associated with local business processes.
  • Executes Risk and Control Self-Assessments (RCSA) to satisfy Enterprise and Regulatory requirements.
  • Delivers Line of Business (LoB) Risk and Control Self-Assessments (RCSA), and Legal Entity (LE) Risk and Control Self-Assessments, which includes the aggregation of individual RCSA results.
  • Remediates RCSA quality assurance and IRM credible challenge findings.
  • Ensures that control gaps and improvement opportunities identified during the IPRC exercise are routed to the appropriate issues management routines
  • Collaborates with the Business, Business Process Subject Matter Experts (SMEs), International Compliance, International Operational Risk, and the Integrated Business Process Risk and Control teams to deliver RCSA program requirements.
  • Other Responsibilities also include :

  • Consults and provides guidance on the development, implementation, and monitoring of moderately complex business-specific processes to identify, assess, and mitigate risk.
  • Identifies, assesses and aggregates risks. Escalates risks where necessary if risk boundaries or limits are triggered.

  • Serves as liaison between Independent Risk Management (IRM) and a Front Line business groups and provides support in the interpretation of policy, guidelines, and governance programs.
  • Designs and implements risk mitigation strategies and controls that effectively mitigate risks and appropriately address requirements of applicable statutes, regulations, and risk governance documents.
  • Develops and implements risk monitoring and risk reporting processes that align with company-wide risk programs. Monitors and reports on its risk concentration, current and emerging risk, and risk appetite.
  • Aggregates the results of its monitoring efforts (as part of its self-assurance activities reporting routines), evaluates findings, reports on results and escalates where necessary.

    Designs and executes a control effectiveness assurance program for Front Line-owned controls.

    Market Skills and Certifications

    Required Qualifications

  • 5+ years of experience in risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years financial services industry experience, of which 3+ years must include direct experience in risk.
  • Desired Qualifications :

  • Knowledge of Business Process Management (BPM)
  • Experience with Risk and Control Self Assessments (RCSA)
  • Proven experience designing, developing, implementing and maintaining effective risk management programs, especially risk controls, within a large complex financial services company.
  • Knowledge of global banking regulatory / supervisory frameworks.
  • Ability to manage and / or collaborate with geographically dispersed teams, matrixed relationships and interact with all levels of an organization
  • Must be a proactive self-starter who values personal accountability and thrives under pressure in a fast-paced and demanding environment.
  • Ability to analyze data and make connections across various data sets to make recommendations to management and project teams in a timely manner.
  • Ability to leverage creative thinking and problem solving skills to facilitate decisions and to ensure project outcomes result in expected business value.
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to articulate complex concepts in a clear manner
  • Ability to escalate issues
  • Ability to meet stringent deadlines
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skill
  • Solid conflict management and decision making skills
  • Strong analytical skills with high attention to detail and accuracy
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