About this role
Key Areas of Responsibilities
• Responsible for managing risk based on metrics. • Responsible for monitoring the division’s and business adherence to the requirements of the Operational Risk framework • Execution of methodologies to identify and mitigate risk arising from inadequate or failed internal processes, people, systems or external events • Assist in enterprise wide risk identification, assessment, documentation, monitoring and reviewing process • Evaluate adequacy and effectiveness of policies, procedures and processes • Advisory and recommendation to business and senior management on risk related issues and highlight risk ratings • Assistance in drafting incident reports, corrective action plans and capturing operational losses / event management • Encourage and promote a culture of risk awareness, mitigation and transparency with clear understanding of residual risk profile, remedial strategies. • Conduct recurring risk assessments, internal control reviews, self-assessments, internal audits, scenario analysis and operational quality assurance • Review and provide consulting support to moderate risk arising out of change management and technology initiatives • Responsible for managing Regulatory/Compliance queries/Ops data collation/Ops response to regulators / compliance. • Stay aware of industry news and regulatory developments to facilitate a more proactive approach to risk identification and mitigation. • Driving and executing the department’s BCP program in Hong Kong • Oversight of Operational Excellence with focus on Risk and Controls • Manage production of business intelligence and analytics with relevant metrics and reporting Requirements
• Bachelor’s degree or above in Operational Risk/Compliance domain desired • Minimum of 10 years of securities industry experience • Proven quantitative and analytical skills • Possess intimate knowledge of internal business processes and product lines specifically in the financial services industry • Experience in developing and managing operational risk frameworks • Familiar with market practices, regulatory guidelines and recommendations, legal and compliance aspects of operations delivery in financial services (HKEX rules, SFC rules, SGX rules, Dodd-Frank, EMIR, Sarbanes Oxley, Basel, Volcker) • Experience in handling Regulatory/Compliance queries/Ops data collation/Ops response (Asia – SFC/MAS) • Excellent communication skills, both written and verbal • Relationship management skills • Prior experience in Risk/audit roles would be advantageous • Lean / Six Sigma certifications would be advantageous
Key Contacts
• Ops Management / Staff within CSI • ORM / Compliance / AML / Businesses within CSI
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