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外資系投資銀行 Risk & Control Officerの求人

求人ID:159791

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職種

Risk & Control Officer

ポジション

担当者

おすすめ年齢

20代
30代
40代
50代以上

年収イメージ

年収イメージ:800万円〜1400万円(経験・能力を考慮の上当社規定により決定)

仕事内容

●Key Responsibilities:
This position will work for the risk & control matters for TTS Client Operations in Japan (TTSCO, TTS = Treasury & Trade Solutions). The person will work closely with TTSCO, and more broadly with the operational risk management partners across the business (1st line of defense) and functions (2nd / 3rd line of defense). The major responsibility is stipulated as below, but not limited to:

・Establishes and oversees the application of operational risk policies, technology and tools, and governance processes to create lasting solutions for minimizing losses from failed internal processes, inadequate controls, and emerging risks.
・Independently assess risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices.
・Governance and oversight may include (not limited to) technology operational risk, risk for example.
・Serves as a subject matter expert for Issues Management (KPI/KRI/Corrective Action Plans)
・Resolves transactional level escalations coming from internal partners
・Analyzes a multitude of scorecards/performance management tools in an attempt to mitigate exposure (risk/financial/regulatory)
・Monitors goals are met through performance, risk and relationship oversight of our extended supply chain
・Develops and maintains relationships across the business users and Lines of Defense to better understand and deliver customer requirements by responding to changes in the internal and external business environment
・Has the ability to operate with a limited level of direct supervision.
・Can exercise independence of judgement and autonomy.
・Acts as SME to senior stakeholders and /or other team members.
・Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm’s reputation and safeguarding our group, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

必要スキル

●Qualifications:
・6-10 years experience in financial service industry / risk and control or equivalent experience.
・Experience in Internal Audit or Operational Risk Management would be desirable.
・Expertise in the following is beneficial: TTS products and processes, Fraud Awareness and ・Risk Management Legal and Regulatory Compliance, specifically
・Management of a global operations and a complex environment that includes global teams.
・Able to manage complex and sensitive information tactfully to all levels of the organization.
・Own process planning, analytical and problem solving skills.
・Self-motivated individual with excellent oral and written communication skills in Japanese and English.

●Education:
・Bachelor’s/University degree at least
・Be the point of contact and escalation risk & control matters
・Drive full life cycle of incident/Operational Risk Event
・Perform root cause analysis of significant control-related issues.
・Ensure Managers’ Control Assessment (MCA) properly covers risks & controls and quarterly self-assessments are complete and correct.
・Engage with regional risk & controls initiatives and forums
・Engage with Department heads to understand the level of audit readiness and provide guidance based on current issues and discussions
・Conduct country on-site and thematic reviews to gauge compliance to organization standards and policies as well as to identify the control weaknesses and gaps
・Provide oversight over key metrics Accounts and Balance Sheet Exceptions, Operational Losses, Corrective Action Plan & Issues Addressed by Management
・Coordinate implementation plans - Reporting & escalation of control/regulatory activities.
・Evaluate significant control events (e.g., negative metric trends, operating losses and ""at risk"" balances, frauds) for area of responsibility.
・Participate in Balance Sheet Exception Report (BSER) evaluations including ensuring oversight over accuracy of manual metrics.
・Support the Incident Monitoring Coordinator (IMC) in their day to day issue management
・Obtain, edit and consolidate data for quarterly reporting (e.g., BRCC, Disclosure Committee, Statement of Accountability, etc.).
・Participate in projects to provide proactive support and control evaluations (e.g., GL account ownership, system development or major process/policy changes ensuring deficiencies/concerns addressed prior to implementation, etc.).

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