Director, In-Business Control (APAC)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • S&P Global
  • 22 May 19

Director, In-Business Control (APAC)

JobDescription :
The Role: Director, In-Business Control (APAC)

The Location: HK

The Team: The In-Business Control team is made up of an experienced team of risk officers who are located around the globe and work together to help S&P Global Ratings managers successfully maintain the internal control structure.

The Impact: This role sits within the In-Business Control team, reporting into the MD, In-Business Control (Analytic), and is responsible for providing 1st line risk and control support and capabilities to all Analytic practices in the APAC region. This includes the identification and remediation of risk and control issues, implementation of control monitoring and testing, delivery of insights to enable appropriate risk-based decision making, and embedding controls into new processes and solutions to ensure quality and adherence to regulation and internal policies.

This role will work closely with the analytic teams in the region and other IBC colleagues to implement an effective 1st line risk and control management capability that ensures the production of quality ratings in a manner consistent with established policies, procedures, and applicable regulations.

What's in it for you: The role offers an excellent opportunity to work for a global leader in credit ratings and to be subject matter expert on all matters concerning risk and control within the APAC region. As the main point of contact in APAC you will represent the region as part of a global team in this highly visible role.


  • Partner with Analytic leaders to ensure alignment between analytic and regional-specific risk priorities and broader IBC, Ratings, and Corporate priorities
  • Work with 2nd/3rd Line departments (e.g. Compliance, Internal Controls, RRR, etc.) in order to optimize the 3 lines of defense
  • Ensure that new (or changes to) processes and solutions are designed with necessary controls to ensure quality, risk mitigation, and adherence to policies and regulation
  • Deliver the necessary insight to all analytic colleagues in the region to enable effective risk-based decision making
  • Amend process checklist to ensure alignment with processes and policies and procedures
  • Develop and update tracking and monitoring of controls
  • Carry out risk-based periodic testing of key controls; and partner with other IBC colleagues to introduce automation to control monitoring and risk assessment processes
  • Partner with Compliance to address regulatory needs (e.g. modifying processes to address changes in regulation, regulatory exams, remediation of findings, etc.)
  • Advise on the development of business risk policies, procedures and internal controls
  • Manage the regional implementation of policies, procedures and controls, including participation in relevant governance processes (e.g. SOP Governance, PGG, etc.)
  • Monitor exceptions to the rating process to ensure compliance with all applicable policies and procedures and provide exception reporting to senior analytic leaders
  • Develop and maintain strong relationships with leaders in the region
  • Lead risk and regulatory projects across Ratings as needed
  • Assist LAMs in the development of management action plans (MAPs) that address regulatory, compliance and internal audit findings
  • Provide and support user training on policies, procedures, and controls, as well as for any systems or tools that support these functions
  • Although the primary focus of the role is the APAC region, this role will also contribute to other IBC initiatives in other regions or globally as needed

What we're looking for:
  • 7-12 years of relevant experience and knowledge of sound practices relating to building and implementing an effective system of internal controls
  • Bachelor's degree required; MBA or Masters preferred
  • Demonstrated understanding of internal control principles, including what constitutes effective control design
  • The ability to analyze and provide a credible assessment of the effectiveness of the internal control structured within his or her assigned sphere
  • An understanding of systems and reporting needed to effectively monitor control activities
  • Leadership presence and the ability to foster collaboration using highly developed interpersonal and communication skills; and leadership to make things happen and create accountability for execution
  • Knowledge of best practices in internal control testing approaches and documentation of results
  • The ability to identify internal control deficiencies and develop potential solutions where appropriate
  • The ability to understand the nuances of complex processes and think clearly about solutions for competing priorities
  • Effective communication skills, both oral and written, and the ability to communicate at all levels of the organization
  • Deep knowledge and subject matter expertise about the operational processes, risks, and regulatory considerations for the Analytic Practices

At S&P Global, we don't give you intelligence-we give you essential intelligence. The essential intelligence you need to make decisions with conviction. We're the world's foremost provider of ratings, benchmarks and analytics in the global capital and commodity markets. Our divisions include:
  • S&P Global Ratings, which provides credit ratings, research and insights essential to driving growth and transparency
  • S&P Global Market Intelligence, which provides insights into companies, markets and data so that business and financial decisions can be made with conviction
  • S&P Dow Jones Indices, the world's largest resource for iconic and innovative indices, which helps investors pinpoint global opportunities
  • S&P Global Platts, which equips customers to identify and seize opportunities in energy and commodities, stimulating business growth and market transparency

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or other legally protected categories, subject to applicable law.