AVP/VP Specialist, Operational Risk Management, Global Financial Markets

DBS Bank

  • 香港
  • 長期
  • 全職
  • 10天前
Business FunctionAs a leader in global financial markets operations, DBS extends a broad range of capabilities in foreign exchange and derivatives, money market and securities trading, to corporations and financial institutions. DBS trades in a comprehensive product range, including foreign exchange, as well as interest rates and derivatives. Global Financial Markets (GFM) provides total solutions to serve DBS clients' hedging and investment needs with a regional emphasis. We have a strong record in providing innovative wealth management solutions to our individual investors. We are a leader in SGD and regional products with an excellent, customer-driven research capability and with cutting-edge risk management technology and systems.Job Objectives
  • To assist Head of Global Financial Market (“GFM”) HK in implementing the DBS’ Operational Risk Management Framework and processes within the unit of the position incumbent with the aim of ensuring a safe and sound operating environment
  • To ensure efficient conduct of activities in GFM by providing trader, sales & product support, review & streamline workflow procedures, coordinate various functions to support new business/ product/systems initiatives
Responsibilities
  • Promote risk & control awareness within GFM, including conducting operational risk training within the unit
  • Ensure implementation of corporate operational risk policies / standards within GFM
  • Develop and ensure implementation of unit-specific operational risk policies / standards
  • Timely reporting / escalating of risk events / significant incidents
  • Facilitate timely completion of quality RCSA, ensuring that proper action plans are established to address any control gaps identified
  • Review and validate risk events reported for factual accuracy, proper categorization of event, cause, effect, and ensure that proper action plans are established to correct and prevent event from recurring
  • Collate, analyze, monitor and report KRI for GFM, ensuring that proper action plans are established to address issues.
  • Track and monitor issue /action plan arising from RCSA, risk events, KRI regulatory inspections, audits or other risk issues, and alert Head of GFM HK of potential and / or actual past due issues
  • Analyze and report GFM operational risk profile (including losses, RCSA issues, KRI trends, compliance breaches or other significant issues) to Head of GFM HK, with proposed action plans to address the issues
  • Escalate significant issues to Head of GFM HK and RMG-OR
  • Conducting Quarterly GFM HK Business Control Committee (BCC) engaging business and support units
  • Act as the Complaint Handling Officer (CHO) of GFM, handle and investigate the compliant / litigation with the necessary involvement of Legal and Compliance, IBG COO office, HR or other support units where necessary
  • Support audit review and regulatory examination with GFM COO Office and Compliance
  • Conduct quarterly controls testing for rogue / unauthorized trading activities
  • ConductiCAAP assessment Disseminate personal data protection, AML and Fraud related information to relevant and appropriate persons within GFM and handle personal data, AML and Fraud related enquiries and issues
  • Drive digitization and data analytic initiatives as related to Ops Risk management
Requirements
  • University graduate in Finance, Economic or related business disciplines
  • Minimum 5 years experience in Global Financial Markets’ business and control processes
  • Good understanding of Global Markets products and operational risks in the Global Markets’ environment
  • Relevant experience and knowledge of Global Markets businesses in Product Control, Middle Office Operations or Risk is desirable
  • Attentive to details and compliance and control oriented
  • Ability to provide balanced perspective between business expediency and risk & control
  • Strong sense of ownership with ability to work in a team environment
  • Fulfillment of requirements under the Enhanced Competency Framework on Treasury Management is preferred
Apply NowWe offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.We regret only shortlisted candidates will be notified.

DBS Bank