My client is a leading securities firm that is expanding its FICC/Wealth Management division and is seeking senior professionals for their Risk team.
Responsibilities:
- Manage and monitor risk metrics to ensure effective mitigation across divisions.
- Oversee adherence to the Operational Risk framework, ensuring compliance with internal and regulatory standards.
- Implement methodologies to identify, assess, and mitigate risks arising from internal processes, systems, people, and external factors.
- Evaluate operational risk policies, procedures, and controls to ensure their adequacy and effectiveness.
- Provide strategic advisory support to senior management on risk-related issues and risk ratings.
- Support incident reporting, corrective action planning, and operational loss management.
- Foster a culture of risk awareness and transparency, promoting clear understanding of residual risks and remedial strategies.
- Conduct regular risk assessments, control reviews, audits, and scenario analyses to uphold operational integrity.
- Offer expertise on risk considerations related to change management and technology initiatives.
- Manage regulatory and compliance queries, including data collation and responses to regulators such as SFC, MAS, and others.
- Drive the execution of the department's Business Continuity Planning (BCP) program in Hong Kong.
- Oversee operational excellence initiatives focusing on risk control and process improvements.
- Lead business intelligence and analytics efforts, providing insightful metrics and reports to stakeholders.
Required Skills:
- Master's degree or higher in Operational Risk, Compliance, or related fields.
- Minimum of 8 years of experience within the securities/Investment banking industry.
- Deep understanding of internal business processes and product lines within financial services.
- Proven experience developing and managing operational risk frameworks within FICC/ Equities/ Wealth Management business.
- Familiarity with regulatory guidelines and industry practices such as HKEX, SFC, SGX, Dodd-Frank, EMIR, Sarbanes-Oxley, Basel, and Volcker.
- Proficiency in handling regulatory/compliance inquiries and data management.
- Excellent written and verbal communication skills.
- Strong relationship management and stakeholder engagement abilities.
- Experience in risk, audit, or compliance roles is highly advantageous.
Interested parties please click Apply Now to submit your CV to us. For any enquiries and immediate response, please feel free to send you CV or contact Carrie Chan at c.chan@gravitasgroup.com