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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