Group COO - TSCO Operations Expert - Associate/AVP
Shanghai
Permanent
Full-time
1 month ago
Your key responsibilitiesKey personnel for the team's Risk and Control relatedRisk identification and AssessmentIdentify, assess and document operational risksConduct Risk and Control Self Assessments (including periodic trade sampling checks) to evaluate control effectivenessMonitor key risk indicators (KRIs) and escalate breachesControl Design and ImplementationDesign and implement operational controls (preventive/detective) to mitigate risks.Ensure controls align with Bank's policy and local regulation.Review process workflows to identify control weaknesses and recommend improvements.Compliance and Regulatory OversightComplete and/or coordinate surveys, self-assessmentWork with team to review and/or assess new or changed regulation, implement process changed if requiredSupport internal/external audits and regulatory inspections.Key contact to face-off local Regulators in ad-hoc queries, on-site inspection etcIf required, conduct control self-assessment for both processes or regulatory reports, KOD and checklist design and implementation.Where necessary, review operational workflow to stay compliant with internal policies and local regulationsIncident Management and Breach ReportingInvestigate operational incidentsDocument root causes and prepare incident report, implement corrective actions and conduct read acrossReport significant breaches to senior managementTraining and Awareness and Stakeholders InteractionConduct risk training for Operations staff on control frameworks and new regulation.Interaction with Front Office, Middle Office, Finance, Compliance, Legal, InternalSkills & experienceYour skills and experienceBachelor's degree in Banking and Finance or related fields degree in Finance, Business or related fieldAt least 10 years' work experience in investment banking roles, with strong investment Banking product and regulatory knowledge. Familiar with trade life cycle, settlement and confirmation process and reconciliationBilingual in both written and spoken English and MandarinProficient with MS Office applicationsAbility to multi-task and work in dynamic environment.Demonstrate pro-activeness, self-disciplined, self-motivated with ability to work independently and effectively under pressure.Control-focused and ability to multi-task and priorities work in fast pace environmentCommitted and reliable with a strong sense of teamwork