Risk(Margin Financing Risk Management) - VP

ICBC International
Hong Kong, HK
On-site

Why this role

Pace
Steady
The role requires a fast-paced environment, as evidenced by the need to conduct periodic stress tests on stock margin portfolios and futures brokerage business, ensuring alignment with the latest regulatory guidelines.
Collaboration
High
Collaboration is a key aspect of this role, as it involves coordinating with the Head Office and providing support to regulators during inspections, indicating a need for strong teamwork and communication skills.
Autonomy
Medium
The role demands a high level of autonomy, as the individual will be responsible for developing and enhancing risk management policies and operational procedures independently.
Decision Impact
Company
Decisions made in this role have a significant impact on the company's risk profile, as the individual is responsible for ensuring compliance with regulatory requirements and managing various financial risks.
Role Level
Manager
The complexity of the role is high, given the need to understand and manage a variety of financial products and services, including equities, derivatives, and structured products.

Derived from job-description analysis by Serendipath's career intelligence engine.

Transferable backgrounds

  • Coming from Risk Manager at a multinational bank
    Risk Assessment · Regulatory Compliance
    The experience in managing financial risks and ensuring compliance with regulatory standards directly aligns with the responsibilities of this role.
  • Coming from Compliance Officer at a financial services firm
    Regulatory Knowledge · Internal Auditing
    The background in regulatory knowledge and internal auditing provides a strong foundation for the compliance and risk management duties in this role.

Skills & requirements

Required

Risk ManagementFinancial ProductsRegulatory ComplianceStress Testing

Preferred

Cfa/frm Certification

Stack & domain

CFAFRMFinanceRisk Management

About the role

This role involves overseeing and managing the risk associated with various financial products and services, such as margin financing and stock brokerage, while ensuring compliance with regulatory standards. Ideal candidates are those with a deep understanding of financial markets and a proven track record in risk management.

Original posting from ICBC International via LinkedIn

Key Responsibilities 主要职责

  • Provide expert support to the overall risk management of Sales & Trading, including but not limited to the execution of risk management function of margin financing risk management, stock brokerage risk management, Future & Option brokerage, stock borrowing & lending ,Repo and TRS business.负责销售交易业务的专业风险管理工作，包括但不限于执行保证金融资、股票经纪、期货期权经纪、证券借贷、回购及总收益互换业务。
  • Conduct periodic stress tests on stock margin portfolios and futures brokerage business, ensuring alignment with the latest SFC guidelines for securities margin financing and dealing in Futures Contracts. 对证券保证金组合及期货经纪业务进行定期压力测试，确保符合证监会最新的证券保证金融资及从事期货合约交易的指引。
  • Develop and enhance risk management policies, operational procedures, and risk systems. 制定并优化风险管理政策、操作流程及风险系统。
  • Coordinate with Head Office, ensure the full compliance of the requirements from Head Office负责落实总行并表机构管理要求，就风险管理情况与总行沟通；
  • Provide support to regulators (e.g. SFC, HKEX etc) ‘s Off-site and on-site inspection on behalf of Risk Management Department;负责代表风险部对监管机构 (例如香港证监会、港交所等) 的非现场及现场检查提供支持；
  • Organize and coordinate business training and research activities.组织开展公司相关业务培训及调研工作。
  • Attend and take all relevant compliance and risk training; fulfill all compliance responsibilities as required for the job, and comply with regulatory requirements and internal guidelines to complete all tasks assigned 出席有关合规及风险的培训, 尽合规职责, 依据法例及相关的内部指引去完成及参与各上级下达的项目

Qualification 资格

•University Degree in Finance, Economics, Risk Management, Accounting or Business related 大学本科毕业 (经济 、会计、商业或行业相关)

•8-10 years or above relevant experience 8 至 10 年以上相关工作经验；

Good command of both spoken and written English and Chinese (Mandarin / Cantonese). 中文（普通话 / 粤语）、英文，有较好中文报告能力者优先；

•Diligent ,committed and able to fulfill all compliance responsibilities with a high level of integrity.

勤奋、尽责，并能以高度的诚信履行所有合规职责。

  • Preferably CFA /FRM holder 具有CFA / FRM资格较佳
  • Deep understanding of SFC regulatory requirements and financial products including equities, derivatives, and structured products. 深入了解证监会监管要求及金融产品，包括股票、衍生工具及结构化产品。

Proficiency in risk control modules of major securities and futures front-to-back office systems (e.g. iAsia, Hundsun, TTL, Esunny etc) 熟练操作市场主流的证券及期货系统 (例如iAsia、恒云、TTL、易盛等)的风险监控模块

Source: ICBC International careers (LinkedIn)

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