Job Description

Main Duties:

• Accountable for the development of a comprehensive risk and control assessment for all aspects of risk within the FLoD, including the effective oversight of the testing programme, and review this with the business on a regular basis.

• Responsible for ensuring that a comprehensive risk based control monitoring programme exists across the function, evidencing the adequacy and effectiveness of key controls

• Perform regular business controls and monitoring on various areas, i.e. Investment Suitability, Cross Border, Anti-Fraud, etc., and produce management reporting on the findings.

• Conduct thematic reviews, investigations and gap analysis on different aspects within the FLoD.

• Participate in ad-hoc projects and work closely with stakeholders to implement changes & enhancements.

• Responsible for the development of a strong risk awareness and client fairness culture across all aspects of the business.

• Collaborate with internal stakeholders (i.e. Second Line of Defense (SLoD), Global Function) to identify, assess, and mitigate risks across business operations, and to ensure appropriate controls are in place.

• Accountable for proactive escalation, reporting, provision of advice and challenging existing processes in relation to the business activities.

• Undertakes any other duties within the Business Risk Management or as directed by the Head of Business Risk Management.
• Manages FLOD Risk Scorecard and ensures proper tracking, execution and integrity of the score card.
• Provides counsel to front office staff on investment advisory activities and to ensure compliance with in-house policies & procedures and local regulatory requirements.
• Builds strong relationships and credibility with key internal stakeholders

Requirements:

• Bachelor degree or above in Business Administration, Finance, Economics, or related fields
• 6 years or above of experience in financial or banking industries
• Prior experience with general risk management, including control framework is preferred
• Understanding of products and Wealth regulatory banking environment
• Experienced in liaising with internal business partners
• Demonstrated ability to work with minimal supervision, multi-tasking and to prioritize tasks