Key Responsibilities Draft and update policies and procedures on company-wide operational risk management, connected-party/intra-group transactions and outsourcing, ensuring compliance with regulatory and Head Office requirements.
Implement effective ORM tools, including but not limited to Operational Risk and Control Self-Assessment (RCSA) and Key Risk Indicator (KRI) and Loss Data Collection (LDC).
Evaluate effectiveness of internal controls over operational risk, drive mitigation measures, and track remediation progress.
Conduct operational risk assessments for new products/systems/business changes and provide independent advice.
Deliver operational risk training and raise risk awareness of all staff.
Conduct risk incident reviews, accountability assessments and propose disciplinary actions.
Assist in operational risk committee meetings and accountability committee meetings.
Carry out outsourcing risk assessment and facilitate the approval process of outsourcing projects.
Coordinate business departments to implement management requirements on connected-party/intra-group transactions and provide advice on the subject matters to business departments.
Organize all departments to implement requirements on policy and procedure management and update company-wide list of p&p.
Regularly report to senior management/HO on company's operational risk profile, connected-party/intra-group transaction management and outsourcing management.
Complete other tasks assigned by the team head and department head.
Job Requirements Minimum of 5 year experience in banking/securities brokers operational risk management and proficient in ORM tools; Bachelor Degree or higher in Finance, Economics, or other relevant majors from top universities; FRM/CFA/CPA/CISA/CISSP qualifications preferred; Strong risk sensitivity as well as analytical and quantitative skills; Proactive in taking up responsibilities and be able to multi-task; Strong written and verbal communication skills in Chinese; Capability of delivering high-quality work under tight schedules; A quick learner with an open mind.
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