VP / Director - APAC Risk Assessment and Control Review Compliance Officer

2 months ago

Hong Kong, Hong Kong SAR China Société Générale Assurances Full time

VP / Director - APAC Risk Assessment and Control Review Compliance Officer

Compliance Permanent contract Hong Kong, Hong Kong Reference 24000MKL Start date Immediately Publication date 2024/09/17

Responsibilities

Mission of RACR:

The Risk Assessment and Control Review (RACR) team is a critical part of the Capital Markets Surveillance function which is responsible for developing and conducting a robust risk assessment and control and desk review program that facilitates the ongoing assessment of control efficacy.
The RACR function works in tandem with the surveillance teams and the Change Management Team in performing their tasks to develop and conduct an effective surveillance program.

Key purpose of the role:

The APAC RACR Compliance Officer, based in Hong Kong, will be the main point of contact in the region for developing and conducting the global RACR program:

Risk Assessment Control Reviews / Desk Reviews within the region in adherence to all relevant regulatory requirements and expectations and prevailing market standards within the region.

Main responsibilities:

The APAC RACR Compliance Officer will participate in:

Control reviews / Desk reviews:

Contribute to the RACR program via an effective collaboration across Capital Markets Surveillance (CMS), Change Management & Transformation (CMT), Compliance (CPLE), Global Markets (MARK) and other key CMS sponsors and stakeholders. Liaise with Market Surveillance Officers worldwide (with a strong focus in Asia), by sharing the expertise of analysts in charge of Surveillance. Perform control reviews in accordance with the procedures, carrying out at least the reviews of the key controls identified. Perform control and desk reviews according to the defined roadmap. Take in charge the governance related to the journals mentioned above (, validation of the organization of meetings and documentation). Ensure the updating of all CMS Market Surveillance repositories, maintain the validation of any changes made to the monitoring system (at the origin of the reviews, the implementation of the roadmap). Ensure all legacy trade surveillance controls are documented as appropriate. Maintain and review the list of Asia Market Surveillance controls. Assist the head of the team in ongoing interaction as required with the CPLE/REG market integrity team. Take in charge any other task/projects that would be considered by the management and be the point of contact for RACR in Asia.

Continuous Enhancement of the Trade Surveillance framework:

Participate to the enhancement of current controls following above mentioned reviews by calibrating and assessing areas of weakness, gaps, improvement needed in collaboration with experts of trade surveillance and project teams. Engage with Surveillance vendors to review and develop the effectiveness of controls used by CMS. Support Market Surveillance teams in defining and developing solutions to increase efficiency and coverage. Develop Trade Surveillance controls to mitigate newly identified surveillance gaps.

Regulatory Watch:

Proactively identify, analyze, and communicate the impacts on surveillance activities of any regulatory changes related to the market or industry. Identify new trade surveillance controls available in the catalog of external providers like SMARTS, Trading Hub… that could be pushed to production to improve the coverage.

Miscellaneous:

Develop and publish timely metrics identifying the risks and output of the RACR program for management. Take in charge any other tasks that would be considered by management.

Profile required

Business skills:

Experience in a regulatory framework at leading Financial Institutions. Financial product knowledge is a must due to the interaction with Front Office teams. Working knowledge of company policies, regulation, private and public sides of businesses and market practices.

Behavioral skills:

The role requires someone who can work in a fast-paced environment which will require flexibility to ever changing regulations and technology. Excellent attention to detail. Respect for highly sensitive information. A team player who can work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements. Innovation: An outside of the box thinker who has a solution-based mindset, who can identify potential gaps and work to facilitate the implementation of initiatives designed to improve surveillance offering. High level documentation and presentation skills. English language essential – other languages desirable.

Behavioral skills:

Client - Risk: I strive to satisfy clients while taking into account risks for the company Team Spirit - Collective mindset: I favour the team’s interest over my own results Team Spirit - Open mindset: I listen and share my views and my expertise in an open mode Innovation - Thinking out of the box/Creativity: I propose new ideas and solutions Responsibility - Risk awareness: I am constantly on the lookout for risks Responsibility - Performance: I strive for high performance

  • Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    APAC Risk and Control Review Compliance Officer RoleAs a key member of the Capital Markets Surveillance function, the APAC Risk and Control Review Compliance Officer will be responsible for developing and conducting a robust risk assessment and control review program.Key Responsibilities:Contribute to the RACR program through effective collaboration across...

  • VP, Compliance Product Officer, APAC Control Group

    1 month ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • Compliance Risk Analyst

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Moody's Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Analyst to join our APAC team. The ideal candidate will have excellent written and verbal communication skills, project management experience, and expertise in the Office suite.About Moody'sMoody's is a global integrated risk assessment firm that empowers organizations to make better decisions. Our...

  • Compliance Risk Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About the RoleWe are seeking a highly skilled Compliance Risk Officer to join our APAC Control Group team in Hong Kong. As a key member of our team, you will play a crucial role in assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.Job ResponsibilitiesAssist in designing,...

  • APAC Risk Control Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    Job DescriptionWe are seeking a skilled APAC Risk Control Compliance Officer to join our team at Société Générale Assurances.About the RoleThis role will be responsible for developing and conducting the global RACR program in the Asia Pacific region, ensuring adherence to regulatory requirements and prevailing market standards. The successful candidate...

  • Compliance Risk Specialist

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Moody's Full time

    Job Title: Compliance Risk SpecialistThe ideal candidate for this Senior Compliance Associate role at Moody's will work within the Global Compliance Program Office, primarily supporting the APAC Compliance team. This position involves working closely with the APAC Compliance team and contributing to key initiatives such as Compliance Risk Assessment,...

  • Compliance Monitoring VP, Global Bank

    3 months ago

    hong kong, Hong Kong SAR China Projob21.com Ltd. Full time

    Our Client European Based Wealth Management Banking Group, hiring over 550 employees in APAC region and total AUM USD of 195 Billion+ is in search for Compliance Monitoring Veteran of VP Level for Greater China region. Job Duties Perform annual risk assessment to identify key risk areas that need to be monitored. Report to North Asia Head of Compliance....

  • VP, AML Compliance Risk Management Officer

    2 months ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Job Description Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job...

  • Senior Compliance Officer, APAC

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China WELLS FARGO BANK Full time

    We are seeking a highly skilled Senior Compliance Officer to join our team in Hong Kong. This role will provide primary compliance coverage for our APAC Investment Banking and Capital Markets business, including Debt Capital Markets and Mergers & Acquisitions, as well as secondary support to APAC Markets business.Job SummaryThe ideal candidate will be...

  • Associate - Compliance Risk Controller

    2 months ago

    Hong Kong, Hong Kong SAR China Société Générale Assurances Full time

    Associate - Compliance Risk Controller Compliance Permanent contract Hong Kong, Hong Kong Reference 24000PNP Start date 2024/12/02 Publication date 2024/10/25 Responsibilities Summary of the key purposes of the role:  Contribute to the definition of an annual risk-based Compliance control plan for APAC Deliver Compliance reviews as...

  • VP, Compliance Testing Officer, Markets

    6 months ago

    Hong Kong, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...

  • Compliance Product Risk Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About the RoleCiti, a global leader in financial services, seeks an experienced Compliance Product Risk Officer to join our APAC team.This role will play a crucial part in assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation. You will design and deliver a risk management framework...

  • APAC Chief Risk Officer

    4 months ago

    Hong Kong, Hong Kong SAR China Deutsche Bank Full time

    Job Description: Employer: DWS Group Title: APAC Chief Risk Officer Location: Hong Kong Job Code: #LI-ZL1 #LI-04 About DWS: Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can...

  • SVP, Compliance Independent Assessment Officer

    4 months ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • SVP, Compliance Independent Assessment Officer

    6 months ago

    Hong Kong, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...

  • VP, Equities Compliance Officer

    4 months ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • Compliance Risk Controller Associate

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    Role Overview:The Compliance Risk Controller Associate will contribute to the definition of an annual risk-based Compliance control plan for APAC and deliver Compliance reviews as required by the annual control plan. The role ensures Compliance risks are identified and managed in a timely manner and ensures timely tracking, resolution, and closure validation...

  • Partner, Digital Risks, APAC

    3 months ago

    Hong Kong, Hong Kong SAR China Control Risks Full time

     This is a pivotal and highly visible leadership position, leading our Digital Risks Advisory business in APAC and supporting our global Digital Risks growth. This role is responsible for leading and developing our Advisory business in APAC with a focus on driving significant growth in our C-suite advisory work. The role is directly responsible for...

  • APAC Trade Surveillance

    2 months ago

    Hong Kong, Hong Kong SAR China Société Générale Assurances Full time

    APAC Trade Surveillance - Director Compliance Permanent contract Hong Kong, Hong Kong Reference 24000QG0 Start date 2025/01/02 Publication date 2024/11/06 Responsibilities Geographic coverage is APAC. Assets coverage include equities, fixed income, forex and related derivatives. Reports to the APAC Head of Capital Market Surveillance. ...

  • Compliance Risk Analyst

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Zurich Insurance Company Full time

    Are you a motivated and detail-oriented individual looking to gain experience in compliance risk analysis?About the RoleZurich Insurance Company is seeking an Intern (Compliance, APAC) to join our team in Hong Kong. As a key member of our Compliance team, you will be responsible for assisting in the analysis of management information and production of...