Banking, Capital Markets and Advisory - Business Risk Officer, Assistant Vice President
BCMA Business Risk Management:
The Business Risk Management team supports and promotes a robust control environment within the Banking, Capital Markets and Advisory business across Asia Pacific (ex-Japan), ensuring that all applicable internal policies and external regulations are adopted through effective and sustainable processes.
The team sits within the 1st line of defence and provides direct oversight over the key operational and conduct risks of the business by overseeing processes and controls related to transaction approvals (conflicts clearance, committee approvals, engagement procedures), Information Management (data surveillance, wall crossing procedures), client monitoring (anti-money laundering, KYC, Anti-bribery &Corruption) and overall employee supervision and training. Key Responsibilities:
Assist in the oversight of key Business Risks through various activities including:
- Risk assessments
- Control development
- Monitoring routines
- Escalation/remediation of issues identified
- Preparing required internal documentation e.g. process documents, internal testing
Key Business Risks include:
- Conduct risk
- Governance & Prudential risk (Operational risk)
- Market Practices risk
- Data management risk
- Regulatory risk
- Money Laundering, Sanctions & Bribery Risk
- Build relationships with functional and business partners at a country, regional and global level
- Manage production of analytics and presentation materials
- Provide regular update to management on progress and issues
The role will provide the successful candidate with a good understanding of the Banking, Capital Markets and Advisory business, Legal and Compliance topics and their related frameworks as well as excellent exposure to country and regional senior management. Knowledge/Experience:
- 7+ years' experience in Compliance, audit, risk management or another oversight, monitoring function in the Financial Services Industry
- Experience in working and partnering with key stakeholders in the business and functions.
- Previous experience in corporate/investment banking and/or capital markets is a plus
- Good understanding and knowledge of operational, conduct risk and internal control principles; ability to assess risk trends.
- Unquestionable ethics, an understanding of implications of decisions and client confidentiality
We are seeking candidates from a wide variety of backgrounds and value diversity. Skills:
- A critical mindset paired with strong analytical skills and an interest to analyze data/processes to identify issues or control gaps
- Ability to work independently with minimal direct supervision, and to excel under-pressure for meeting any tight deadlines
- Strong communication skills (both written & verbal) at all organizational levels
- Ability to demonstrate presence and professionalism - particularly in critical, intense situations
- Good organizational and time management skills, including the ability to prioritize tasks
- Ability to partner efficiently within team environments and as an individual contributor
- High level of initiative and ability to quickly acquire knowledge and adapt to ongoing change
- Advanced MS Excel and PowerPoint skills would be advantageous.
- Successful candidates will usually have obtained a 2:1 degree or equivalent.
Job Family Group:
- Conflict resolution/negotiation skills, Influencing & Persuasiveness
- Decision making & Judgment
- Risk and control mindset
- Commitment to learning
- Analysis & Problem Solving
- Spoken and written Cantonese and or Mandarin would be advantageous
Business Strategy, Management & Administration Job Family:
Business Management Time Type:
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