Aug 5, 2022
Non-Japan Asia-Hong Kong-Hong Kong-Hong Kong
Investment Banking/Sales/Trading/Research Full Time Associate
The Risk Control Group (RCG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for Fixed Income, Commodities, Bank Resource Management and Institutional Equity. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls and policies. RCG members are part of the S&T Non-Market Risk structure.
The RCG team fulfills a front office advisory role as the first line of defense. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners. RCG is looking for an analyst to support projects and day-to-day tasks as applicable.
Key Roles and Responsibilities
- Servicing the Sales and traders to apply the risk control framework.
- Reviewing surveillance reports/system and following escalation procedures.
- Review of system entitlements and analyzing appropriate access.
- Providing local support and oversight of outsourced processes and ensuring data accuracy for population management.
- Manage escalations on Non-Market Abuse (NMA) trade surveillance.
- Ability to build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
- Promote risk education and awareness and provide management summaries as appropriate
- Engaging with Sales and Trading contacts and other stakeholders to build awareness of RCG’s continued focus on proactive and effective surveillance and supervision.
- Risk Management, Compliance or IT Professional with 3+ years of experience in managing risk on areas such as equity surveillance, operational risk, information Security or similar.
- Excellent verbal and written skills with ability to create quality written procedures that are clear and comprehensive.
- Strong analytic and problem solving/process improvement skills; ability to learn quickly and solve poorly defined problems
- Very strong Excel skills; coding capabilities (Macro’s, VBA etc.) is advantageous.
- Outstanding interpersonal skills with the ability to work effectively with all levels of the organization with excellent influencing and negotiation skills.
- Knowledge of Software development lifecycle and change management either through IT project management or developer/quality assurance experience.
- Strong organizational skills and an ability to manage multiple demands and changing priorities.
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- Knowledge of Sales and Trading products such as Cash, SWAPs, Derivatives and Bonds is advantageous
- Additional language advantageous e.g. Japanese
- General interest/awareness of regulations and the banking governing bodies.