Associate Director, Risk, Operations

Requirements

• Bachelor's degree or above in Operational Risk/Compliance domain desired
• Minimum of 10 years of securities industry experience
• Proven quantitative and analytical skills
• Possess intimate knowledge of internal business processes and product lines specifically in the financial services industry
• Experience in developing and managing operational risk frameworks
• Familiar with market practices, regulatory guidelines and recommendations, legal and compliance aspects of operations delivery in financial services (HKEX rules, SFC rules, SGX rules, Dodd-Frank, EMIR, Sarbanes Oxley, Basel, Volcker)
• Experience in handling Regulatory/Compliance queries/Ops data collation/Ops response (Asia - SFC/MAS)
• Excellent communication skills, both written and verbal
• Relationship management skills
• Prior experience in Risk/audit roles would be advantageous
• Lean / Six Sigma certifications would be advantageous
• Key Contacts
• Ops Management / Staff within CSI
• ORM / Compliance / AML / Businesses within CSI
• Stay informed on CITIC CLSA Job Opportunities
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Benefits

Additional Information

Key Areas of Responsibilities Responsible for managing risk based on metrics. Responsible for monitoring the division's and business adherence to the requirements of the Operational Risk framework Execution of methodologies to identify and mitigate risk arising from inadequate or failed internal processes, people, systems or external events Assist in enterprise wide risk identification, assessment, documentation, monitoring and reviewing process Evaluate adequacy and effectiveness of policies, procedures and processes Advisory and recommendation to business and senior management on risk related issues and highlight risk ratings Assistance in drafting incident reports, corrective action plans and capturing operational losses / event management Encourage and promote a culture of risk awareness, mitigation and transparency with clear understanding of residual risk profile, remedial strategies. Conduct recurring risk assessments, internal control reviews, self-assessments, internal audits, scenario analysis and operational quality assurance Review and provide consulting support to moderate risk arising out of change management and technology initiatives Responsible for managing Regulatory/Compliance queries/Ops data collation/Ops response to regulators / compliance. Stay aware of industry news and regulatory developments to facilitate a more proactive approach to risk identification and mitigation. Driving and executing the department's BCP program in Hong Kong Oversight of Operational Excellence with focus on Risk and Controls Manage production of business intelligence and analytics with relevant metrics and reporting

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