As part of the Risk Management & Compliance (RM&C) Controls organization, the APAC CCOR Control Management team plays a key role in implementing the firm's Operational Risk Management Framework and maintaining a strong and consistent control environment across APAC CCOR in line with firmwide standards.
The APAC CCOR Control Management team supports the APAC Chief Compliance Officer and CCOR senior management in driving global, regional and local control priorities, strengthening the control environment, and promoting a strong risk and control culture across APAC Compliance, Conduct and Operational Risk (CCOR).
As a Vice President within the Asia Pacific Compliance, Conduct and Operational Risk (CCOR) Control Management team, you will report to the APAC CCOR Control Management team lead and work closely with various CCOR functions, including but not limited to Global Financial Crimes Compliance (GFCC) and Surveillance, as well as other partners such as Internal Audit, Global CCOR Control Managers, and other control management teams from locations or lines of business/corporate functions in the region. The role requires independent judgment, constructive challenge, and the ability to influence senior stakeholders across Compliance and other partnering functions.
Job responsibilities
- Lead the end-to-end management of issues and action plans, including root-cause analysis, action-plan development, progress monitoring, escalation, closure validation and sustainability assessment.
- Ongoing maintenance of regional and legal-entity specific information within the Control and Operational Risk Evaluation (CORE) framework in partnership with relevant CCOR stakeholders.
- Assess control environments, identify weaknesses in processes and controls, provide constructive challenge to stakeholders, and drive sustainable remediation and control enhancements.
- Prepare clear, concise and decision-oriented management information for regional and global governance forums and control committees. Monitor emerging control risks and themes, and escalate material concerns to senior management.
- Build effective partnerships with APAC CCOR functions and global control teams to deliver control priorities and initiatives.
- Promote risk and control awareness across at all levels and across locations, including developing and delivering targeted communications or training where required.
- Leverage data analytics, automation and AI-enabled tools to enhance control analysis, reporting, workflow efficiency and stakeholder engagement.
Required qualifications, capabilities, and skills:
- Bachelor’s degree in business, finance, or a related discipline
- Minimum 8 years of work experience in financial services, with at least 4 years of experience in Compliance, Operational Risk, Internal Control, Audit or related disciplines.
- Demonstrated ability to assess complex processes and controls, challenge existing practices and recommend practical, sustainable enhancements.
- Excellent written and verbal communication skills, with the ability to convey complex matters clearly and concisely to senior stakeholders.
- Ability to manage multiple priorities in a fast-paced, evolving and results-driven environment, with a proactive approach to problem-solving and a track record of driving matters through to resolution.
Preferred qualifications, capabilities, and skills:
- Knowledge of the Three Lines of Defense model and Compliance functions, such as Surveillance, Financial Crimes Compliance, and Licensing etc.
- Experience with risk and control assessment frameworks, issue management, control evaluation and governance reporting.
- Knowledge of regulatory requirements applicable to banking and securities businesses in APAC jurisdictions.
- Experience using data analytics, automation or AI-enabled tools to improve processes.
- Proficient with Mandarin highly desired for coverage of China legal entities.