AVP - Control & Risk Oversight - BFS

The principle responsibility of the Risk Oversight Analyst is to perform oversight on Group Operations' compliance with SOX policies and requirements and act as a face-off to Global Finance Ops Risk Coordinator.

Additionally, he/she supports the APAC Operations Control & Risk (OC&R) Risk Oversight Head to drive impactful change in the way OC&R performs oversight on Group Operations- risk through the delivery of risk analytical tools.

Reporting in to the APAC Operations OC&R Risk Oversight Head, the Risk Oversight Analyst will:

1) SOX

(a) Manage APAC Group Operations SOx BOY and EOY processes, which includes on-boarding new entities brought in-scope

(b) Work in partnership with OC&R colleagues globally to design and implement a look across of SOx controls to ensure completeness and consistency

(c) Provide challenge around existing controls and additional requirements and validate that these controls mitigate risk;

(d) Manage SOx Control Improvement Plan oversight, provide challenge and global review; and track items for timely closure;

(e) Understand an provide challenge on issues impacting the SOx process and testing, including review of all material control issues/breakdowns to determine if further actions is required, such as capture in MyIncidents, raising of SOx Control Matter and/or initiation of an Operations Risk Assessment; and

(f) Analyze and challenge SOx QAR results and remediation plans identifying areas of weaknesses requiring enhanced focus;

(g) Provide guidance to APAC SOx Control owners on SOx policy

3) Risk Data Analytics

(a) Work in partnership with OC&R Risk Data Analytics team to:

i. Provide support for on-going maintenance, i.e. enhancements of existing risk data analytical tools arising from new needs identified

ii. Deliver new risk data analytical tools, where applicable

(b) Perform analysis of the data results to identify thematic risks and perform read-across that will be drivers for the Operations Risk Assessments.

4) Others

(a) Coordinate, lead and/or perform Operations Risk Assessment focusing on non-function specific process that impact Group Operations more broadly

(b) Understand Internal Counterparty Policy and associated risks; perform oversight and challenge of the IC process

The successful candidate will:

1) Acquire an extensive knowledge of risk and issues arising from Group Operations and able to articulate, discuss and comment upon specific items with colleagues, peers and all levels of Group Operations management.

2) Be exposed to senior Group Operations management and be able to present to a critical audience with confidence and composure.

In addition, the candidate should be able to demonstrate:

1) Understanding of risk management framework and appreciation of risks and controls

2) Excellent data analysis and problem solving skills.

3) Good knowledge of Financial Accounting and Operations processes

4) Intermediate Powerpoint, Word and Excel Skills

5) Ability to engage and communicate effectively with various Group Operations teams and senior stakeholders

6) Strong verbal and written skills

7) Good Presentation Skills