The APAC Compliance, Conduct and Operational Risk (CCOR) Business Controls Management team supports the APAC Chief Compliance Officer and Senior Management team in building out an enhanced Controls Framework and the delivery of CCOR’s strategic objectives.
As an Associate in the team you will take responsibility for controls evaluations and regular review, issues identification and remediation plan.
You will also take lead in the execution of Control and Operational Risk Evaluation (CORE) and management of CCOR owned issues (including creation / progress tracking / closure of issues and action plans;
issues themes / trend analysis) within CCOR.
Responsible to the end-to-end control evaluations, deep-dive risk and regular review, key performance indicator and trigger event assessment for control effectiveness review.
Develop sound control recommendations, and drive for solutions
Identify and evaluate the issues raised for remediation and escalation
Provide advice and facilitate for the completion of issues and action plans
Ensures CORE, Controls Evaluation, and Issues Management programs are aligned to CCOR goals and strategies
Drives the execution of CORE and manage the Legal Entity assessment and tagging
Centrally manage information flows for key issues and escalations and prepare reports for governance and oversight forums (global / regional committees, boards, Regulatory, Business Control Committees / Forums).
Collaborate between APAC CCOR Controls and Business Management teams to navigate governance framework and ensure a strong control environment
Manage governance of controls forums. Coordinate and implement regulatory and control agenda
Manage business risks and support the control environment - Identify, assess and mitigate business risks
Perform analysis to help business identify key gaps in processes / controls
Take independent ownership for specific initiatives and work streams of projects that impact the department and drive programs to successful completion
Collaborate and interact with other control functions (e.g. Finance, Tech, Ops, Legal, HR etc.) and escalate issues as appropriate and required
6+ years of financial service experience in controls, audit, compliance or risk management is preferred
Strong knowledge of control and risk management concepts with the ability to design and evaluate control assessment independently
Excellent written and verbal communication skills, able to articulate initiatives and issues well
Excellent Excel and PowerPoint skills
Strong multi-tasking and prioritization skills to be able to deliver within various deadlines
Strong analytical, logical-thinking / judgment and problem-solving skills
Detail-oriented, highly organized; capable of multi-tasking and prioritizing dynamically
Flexible and responsive to requests from fast-paced environment
Mature, highly motivated, energetic self-starter who takes ownership and is able to work independently, and is effective under pressure