VP, Operational Risk and Resilience Manager - Taiwan / 某外商投信

About the role

Neuberger's Operational Risk and Resilience team is seeking a qualified VP, Operational Risk Manager to oversee local Risk Management practices in the Taipei office relating to Neuberger's SITE registration. This individual will serve as a key liaison across local and regional (APAC) business functions on operational risk and BCP matters, and will be a primary person responsible for the execution of operational risk and resilience frameworks in accordance with best practice guidance and regulatory requirements. This is a unique opportunity to operate across a broad range of business lines - including Institutional Equity, Fixed Income, and Alternative Investments - at a leading global asset manager, covering a range of interconnected risk disciplines that allow for holistic risk oversight. While the primary responsibilities for this role focus on Risk Management activities within Taiwan (Taiwan SITE Fund range), the candidate will also broadly support Risk Management activities and initiatives across the Asia Pacific Region (ex-China), as directed by global Risk Management leadership. The role includes the identification and management of operational risks and issues, as well as the development of solutions and re-engineering of processes to avoid future control and process weaknesses. This hands-on position requires the ability to challenge and coordinate front-to-back business management, as well as regular engagement with fund boards, oversight committees, and senior management, and the ability to respond to requests from various regulators. The role will have a reporting line into the firm's global Operational Risk group. Minimum Qualifying Standards The candidate must meet one of the following qualifications: a) Is qualified as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises. b) Has passed an examination for associated persons of SITE/SICE administered by an institution engaged by the SITCA, and has one year or more of securities, futures, or trust-related work experience at a qualified institutional investor. c) Has passed a senior securities specialist examination held by an institution engaged by a securities firm association, or has obtained certification of passage of such an examination issued by the former competent authority for securities, and also has two (2) years or more of securities, futures, or trust-related work experience at a qualified institutional investor. d) Has one (1) year or more of work experience serving as a manager of domestic or foreign funds. e) Is a graduate of a domestic or foreign school at the level of university or higher recognised by the Ministry of Education, or has an equivalent level of education, and has served for three (3) years or more as an associated person of one or more securities or futures institutions or trust enterprises. f) Is a graduate of a domestic or foreign school at the level of university or higher recognised by the Ministry of Education, or has an equivalent level of education, and has two (2) years or more of audit work experience at a joint CPA firm meeting the conditions required by the Regulations Governing Approval of Certified Public Accountants to Audit and Certify Financial Reports of Public Companies, and has also passed the examination specified in (b) or (c) above. g) Possesses the qualifications in Article 5, subparagraph 1 or 2 of the Regulations for the Senior Examination for Professional and Technical Personnel: Lawyer, and has two (2) years or more of legal work experience in the field of securities or futures at a law firm, and has also passed the examination specified in (b) or (c) above. Functional Responsibilities Operational Risk Framework Ongoing management, maintenance, and embedding of the operational risk framework, covering all new and existing product strategies and related governance processes Identify and investigate operational risk events, ensuring root cause analysis and control assessments are undertaken Identify patterns and trends in events to undertake root cause analysis across the SITE Fund range and broader APAC activities Track external loss events and undertake "could it happen here" event analysis to proactively strengthen the control environment Undertake deep dive reviews on significant and complex events to provide ongoing recommendations to enhance the control environment, while keeping senior leaders updated on progress Identify process and control weaknesses, raise issues and associated actions, notify responsible owners, and provide sufficient oversight to ensure issues are managed to completion Conduct and maintain annual risk and control self-assessments (RCSAs) across the business and support operating units Governance & Reporting Prepare autonomously and present operational risk reporting for relevant SITE activities to Boards and Internal Committees as p