VP - Specialist, Operational Risk Management, Vickers Securities VP - Specialist, Operational Risk Management,  …

DBS Bank (Hong Kong) Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
DBS Bank (Hong Kong) Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
See job description for details
DBS Vickers (Hong Kong) Limited is part of DBS Vickers Securities Group, one of the largest securities brokerages in Singapore and a leading institutional and retail brokerage in Asia. Backed by the financial strength of DBS Group, we offer a broad range of services from wealth management, financial advisory, research and brokerages.
Responsibilities:
  • Act as the Unit Operational Risk Manager ("UORM") to manage effectiveness of risk management processes and operational compliance within the first line, including the identification and management of key risk areas for the business to identify and maintain an end-to-end risk profile
  • Liaise with different stakeholders to ensure timely reporting and review of risk events, incidents or breaches to ensure that all departments have proper controls or solutions in place to close the gap in complying with regulatory requirements
  • Organize and coordinate the governance related forums, meetings and workshops
  • Coordinate and manage the overall quality assurance including but not limited to of Know-Your-Customer (KYC) and Customer Due Diligence (CDD) and outsourcing services with Group and guide business units in performing testing which contains operational and compliance elements / aspects
  • Lead risk assessments, gap analyses and audit inspections on end-to-end processes, new business initiatives, products and coordinate with post-implementation monitoring
  • Oversee business units' business continuity and disaster recovery strategies, including periodic testing, in achieving the effective management and to ensure the business can provide critical services to key customers in the evnt of a major business disruption
  • Support AML champion for Vickers to resolve issues arise from on-onboarding/periodic review and for CDD documentation between FCSS, Front Office and operations teams
  • Coach and train Front Office to understand the workflow of KYC / CDD and name screening for periodic reviews and trigger events to ensure the operational effectiveness
  • Contribute projects in relation to AML/CFT, CRS, FATCA and QI or process changes from new regulatory initiatives. Further provide advice on the control design and to ensure the compliant with internal / regulatory requirements •Be familiar with procedures, processes, and strategies of the business. Collaboration with various units including Business, Operations, Technology, Compliance, Operational Risk and Audit to ensure that all key risks are managed
  • Act as a Data Loss Prevention ("DLP") reviewer to assess whether there is any breach of DLP policies and escalate the event for further actions where appropriate
  • Oversee surveillance reviews on the customer's data sensitivity, account opening and sales process to ensure compliance with internal policies and procedures as well as legal and regulatory requirements by conducting call monitoring
  • Prepare management reporting and conduct regular training to dealing and sales staff where appropriate
  • Promote risk culture, risk and control awareness through sharing of best practices, lessons learnt and various initiatives
Requirements:
  • Degree from a recognized university, preferably majoring in Finance/Law/Risk Management/Accounting
  • Knowledge of equity products and financial markets
  • Exposure to governance, risk and controls
  • Strong problem-solving and analytical skills
  • Able to concurrently manage a broad portfolio of tasks
  • Self-motivated, with ability to build rapport with other stakeholders and partners•Strong communication skills with good command of written and spoken English
  • Strong Excel and PowerPoint skills
  • CIA or FRM is a plus
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