Business Risk & Control Senior Officer
Wells Fargo
Hong Kong, Hong Kong
3天前

About the Role

The Business Risk & Controls Senior Officer, based in Hong Kong, will report to the Business Risk & Controls Leader for COO and Operations.

This includes key risk management focus areas such as end to end processes and evaluation of controls performed in the COO and Operations teams for front line processes, design and evaluation of key risk and control measures for operational processes including regulatory reporting and client onboarding, design and reporting related to quality assurance and quality control activities, and oversight of control testing activities and outcomes.

Opportunities for process improvement and control enhancement will also be a critical focus area.

Specific Responsibilities

The role will be part of a team responsible for COO and Operations control management, process understanding and risk / control identification and assessment, and reporting.

Specific responsibilities include :

  • Design meaningful metrics and monitoring of key risks and controls, and develop reporting for use by COO and Operations leadership, CIB Control and business leaders, and Enterprise Risk Programs such as RCSA or Risk Appetite.
  • Keep senior leaders in Operations, COO, CIB Control, and other key stakeholders abreast of operational support risks, operational process and control health, and similar infrastructure and capacity concerns impacting CIB.
  • Continuously engage in discussions with the CIB COO functions, LOB partners and Operations supporting CIB on opportunities to improve end to end processes and controls, new product or services strategies, new / modified markets, systems, products and services, to determine impact and identify and remediate operational risk issues across CIB.
  • Execute and manage the advancement of core risk program requirements, such as business process management, RCSA, Operational Risk Event analysis and reporting, and issues management.
  • Provide reporting, written and verbal updates to LOB risk oversight councils, CIB and Enterprise risk committees as issues / incidents arise that require escalation.
  • Report risk assessment findings through corporate risk reporting channels and develop business cases to influence control owners and business sponsors on the need for additional or improved controls to mitigate risk as applicable.
  • Establish regular routines with corporate risk, testing & validation and audit partners to provide transparency into business risk profiles and trend.
  • Partner with the line of business to help manage Audit, IRM and Regulator engagements, reviewing submissions where necessary.
  • Lead or assist in regulatory risk related projects as needed.
  • Analyze results of self-assurance, Testing & Validation, Issues Management, Audits and Regulatory Exams to identify control improvement opportunities within a country / region.
  • Market Skills and Certifications

    Required Qualifications

  • University degree (Bachelor’s or equivalent)
  • 8+ years of experience in compliance, risk management (includes audit, legal, operational risk, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), regulatory examiner, or a combination of these.
  • Desired Qualifications

  • Experience with first line controls and operational processes around regulatory reporting, entitlements, electronic trading and operations processing.
  • Prior experience in process improvement, automation of control processes, quality assurance and quality control routines, and risk and control metrics and reporting.
  • Strong working knowledge of financial services businesses (ie, wholesale and commercial and correspondent banking) its products and services, and relevant risks and controls of the business.
  • Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.)
  • Working knowledge financial services regulatory and supervisory frameworks
  • Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner.
  • Strong analytical skills with high attention to detail and accuracy.
  • Highly professional, adaptable and pro-active mindset.
  • Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives.
  • Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently.
  • Technical understanding of specific business operations, processes, products, and customer interactions where they manifest risk.
  • Ability to develop high performing, diverse risk structure in a highly matrixed environment.
  • Ability to assess and determine when to raise concerns and escalate.
  • Pro-actively resolve conflict and maintain objectivity.
  • Ability to conceptualize, develop, and deliver quality analysis and highly-actionable actionable management information.
  • Demonstrated capacity to pro-actively and independently analyze and solve problems and address risks.
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