Reputable Regional Bank
Equity Business Focus
1st Line Of Defense Role
Our client, a reputable Regional Bank, is looking for a high caliber to join as a VP- Operational Risk, 1st line of defense, to support the COO to strengthen the governance and control of the equity trading and ensure risk control obligations are effectively and efficiently managed with Group Control standards and risk appetite of the business.
Act as the Unit Operational Risk Manager ("UORM") to manage effectiveness of risk management processes and operational compliance within the first line, including the identification and management of key risk areas for the business to identify and maintain an end-to-end risk profile
Liaise with different stakeholders to ensure timely reporting and review of risk events, incidents or breaches to ensure that all departments have proper controls or solutions in place to close the gap in complying with regulatory requirements.
Organize and coordinate the governance related forums, meetings and workshops
Coordinate and manage the overall quality assurance including but not limited to of Know-Your-Customer (KYC) and Customer Due Diligence (CDD) and outsourcing services with Group and guide business units in performing testing which contains operational and compliance elements / aspect
Lead risk assessments, gap analyses and audit inspections on end-to-end processes, new business initiatives, products and coordinate with post-implementation monitoring
Oversee business units' business continuity and disaster recovery strategies, including periodic testing, in achieving the effective management and to ensure the business can provide critical services to key customers in the event of a major business disruption
Coach and train Front Office to understand the workflow of KYC / CDD and name screening for periodic reviews and trigger events to ensure the operational effectiveness.
Contribute projects in relation to AML / CFT, CRS, FATCA and QI or process changes from new regulatory initiatives. Further provide advice on the control design and to ensure the compliant with internal / regulatory requirements
Be familiar with procedures, processes, and strategies of the business. Collaboration with various units including Business, Operations, Technology, Compliance, Operational Risk and Audit to ensure that all key risks are manage
Oversee surveillance reviews on the customer's data sensitivity, account opening and sales process to ensure compliance with internal policies and procedures as well as legal and regulatory requirements by conducting call monitoring
Prepare management reporting and conduct regular training to dealing and sales staff where appropriate
Promote risk culture, risk and control awareness through sharing of best practices, lessons learnt and various initiatives.
University graduated in Finance, Business Administration or relevant disciplines
Minimum 10 years' experience in business / operational risk or risk advisory from an international banking environment
Knowledge of equity products and other financial markets products
Exposure to governance, risk and controls
Strong problem-solving and analytical skills
Self-motivated, with ability to build rapport with other stakeholders and partners
Strong communication and interpersonal skills
Fluency in written and spoken English and Chinese
Job-ID : AIRJ-860174 qHCHaTAgGhId40vT Datum der Veröffentlichung : 03 Dez 21