Risk Executive
1 week ago
Lead role for regulatory compliance in the area of rights management (System and user authorization)
- Conduct regular system user reviews and system audit trail reviews as part of compliance monitoring processes
- Implement limits in various systems and develop internal controls to ensure workflow and investment compliance
- Support implementation of regulatory and compliance control in other aspects based on company policies
- Set up preventive measures against possible compliance risks and relevant criteria
- Assist in drafting new policies and procedures, updating of existing policies as well as keeping internal procedures manuals up-to-date
- Monitoring employee trading and ensuring outside investments and activities comply with the firm's policies
- Perform daily transaction monitoring and timely reporting of any operational or compliance breaches
- Conduct periodic account reviews and investigation of suspicious transactions
- Follow up on compliance-related issues raised by auditors
- Support the implementation of company’s risk management methodology, policies, procedures and analysis of risk related information
- Implement and maintain an ongoing review program for compliance as well as preparing compliance-monitoring reports for Head of Risk, Head Office
- Prepare presentation materials for monthly and annual Risk Committee meeting
**Job Requirements**:
- Good degree in any discipline
- 3 years or above compliance/auditing experience in financial industry is preferable
- Sound understanding of process control and procedures, internal regulatory frameworks
- Detail-oriented, organised, adaptable, able to multi-task and work under pressure
- Dynamic team player, excellent interpersonal skills, proactive attitude and takes initiative at work
- Good verbal communication skills and strong report writing ability
- Willing to work with data using VBA, SQL is ideal
- Proficiency in both English and Chinese will be an additional advantage (to liaise with the Chinese speaking associates)
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