Our client is a leading securities brokerage firm with expanding business operation in Hong Kong.
Responsibilities:
- Establish, implement, and continuously optimize operational risk management policies, frameworks, and procedural workflows.
- Track and follow up on operational risk events with cross-functional teams to ensure timely risk incident reporting, effective resolution deployment, and the implementation of subsequent control enhancement measures.
- Coordinate risk management for new business initiatives and financial products; conduct comprehensive operational risk analyses and deliver strategic risk mitigation recommendations.
- Lead and oversee Risk Control Self-Assessment (RCSA) projects; evaluate the internal control mechanisms across various departments, provide actionable recommendations to improve internal controls, and monitor their execution.
- Drive the design, development, and iterative optimization of the operational risk control modules within the company's internal systems.
- Collaborate with the other departments to refine, enhance, and maintain Business Continuity Management (BCM) and disaster recovery planning.
- Responsible for the operational risk assessment regarding the onboarding and launching of wealth management products.
Requirements:
- Degree holder with over 8 years of relevant experience in operational risk management in securities firms or other financial institutions.
- Familiar with SFC regulations and guidelines on operational risk management and internal control.
- Experience in handling RCSA and new product/ business management.
- Proficient in English and Chinese.
