CIB Controls - Business Control Officer - Sales & Marketing - Associate
The DMA
Hong Kong,
5天前

The role is to join the Business Control Office ("BCO") for the Hong Kong Sales & Marketing business. This is a team of skilled risk and controls experts who are responsible for managing the end to end control environment spanning all sales activities in Fixed Income and Equity space across multiple jurisdictions and asset classes and products.

The BCO role is a key role for the business in the current environment and to meet the increasing demands has continued to evolve.

The BCO will oversee the end to end system of controls that mitigate inherent risk and drive a program through thematic reviews, risk analysis and control deep dives that continuously reduces that Business' residual risk profile.

The Business Control Officers focus will be :

  • Trusted Front Office control advisors
  • Represent Front Office interests vis a vis control / regulatory initiatives
  • Execute and implement business controls priorities and strategy - drive control agenda at functional level across critical business unit risks
  • Front office supervisory management and execution
  • Control and Risk governance implementation and reporting
  • Key Responsibilities Include

  • Facilitator of full sales control governance
  • Front Office supervision management
  • Front Office Supervision (FOS) portal development and oversight including exception management
  • Supervisory attestations
  • Policy development, review and implementation
  • Standard operating procedures documentation and implementation
  • Identify and remediate control gaps
  • Control and regulatory governance management
  • Front office representative in control forums
  • Prep for internal and external regulatory & control meetings / reviews
  • Lead in coordination of business regulatory exams
  • Risk & Control Self Assessment, error governance, control deep dives
  • The BCO will interact with multiple line and corporate functions and need to be able to work effectively with each key stakeholders of the firm.

    The individual working together with the salesperson and BCOs will need to establish very strong relationships with relevant Sales Team and business partners and develop a deep understanding of the business, its control challenges, the architecture and products.

    The candidate should be interested in working in a fast-paced and dynamic environment, participating in key initiatives and becoming involved in a diverse set of issues that will have a direct impact on the organization.

    Qualifications & Requirement

  • Previous experience in Control / Support function, Business Management or Sales
  • Basic understanding of Fixed Income, FX, Equity for both cash and derivatives space
  • Highly motivated self-starter who takes ownership
  • Investigative mindset, able to see issues at both a high-level and in detail.
  • Strong analytical, logical, problem solving & process re-engineering skills
  • Strong team player
  • Solid Communications skills both written oral in English and Mandarin are a requirement. Ability to read and write in Mandarin / Cantonese is a prerequisite
  • Excellent Excel, Word, PowerPoint skills
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