大手証券会社でのOperational Risk Management, Global Legal, Compliance and Fraud Risk Leadの求人

Risk Management supports Our Company to achieve its business goals by partnering with business units across the firm, providing independent advice to the Board and protecting the firm from exposure to losses as a result of credit, market, operational and other risks. Operational Risk Management is the risk oversight function for operational risk and provides risk guidance and credible challenge to the business and corporate functions. The role resides within the firm’s Operational Risk Management function reporting to the Global Head of Operational Risk based in Asia.

Global Legal, Compliance and Fraud Risk Lead will be responsible for leading global Operational Risk Management’s oversight of Compliance, Legal, Fraud and People risk domains across the firm. This includes providing guidance on risk and control matters, forming an independent and consolidated view of risks in those domains across the enterprise, and partnering with risk domain SME Functions and regional ORM to deliver on risk mitigation efforts.

●Role description:
・Establish a strategy to develop and improve Operational Risk Management in the Compliance, Legal, Fraud and People risk in partnership with risk domain SME functions.
・Coordinate and lead efforts by regional Operational Risk Management team members covering Compliance, Legal and HR functions to provide globally consistent challenge, feedback and advise.
・Conduct assessment of key fraud risks and deliver cross-functional enhancement to improve controls.
・Participate and influence decision making in management forums and contribute to continuous improvement of risk practices.
・Lead ORMs oversight and challenge of assessment of risk exposures and control effectiveness in the relevant SME department Risk and Control Self-Assessments and take lead in assessing adequacy of risk and controls across the respective risk domains.
・Establish appropriate risk appetite and early warning metrics with SME functions to monitor risk exposures in line with firm’s risk appetite.
・Lead and challenge review of material operational risk events and analysis of thematic operational risks impacting across the risk domains.
・Lead in executing special projects and global initiatives to identify and mitigate risk.
・Contribute to development of enterprise-wide risk and control management frameworks for risk domains in collaboration with risk domain SME functions.

●Skills, experience, qualifications and knowledge required:
・10+ of relevant financial services risk management experience in 1LOD, 2LOD or 3LOD roles managing compliance, regulatory, legal and/or fraud related risk and control reviews.
・In-depth technical knowledge with regulations impacting a global financial services industry including central compliance functions, regulatory, legal, anti-financial crime, anti-money laundering, anti-bribery. A working understanding of potential legal risk related to documentation, enforceability, and contractual obligations arising from global banking business.
・Understanding of key fraud risks impacting financial services industry.
・Experience in investigating regulatory, legal, fraud and/or conduct issues, identifying root causes and proposing and overseeing implementation of controls enhancements.
・Strong communication skills, both verbal and written; ability to produce concise and effective presentations.