APAC Risk Management Legal Entity Oversight Coordinator

Transformation Roles

Transformation - CVs (Proactive Pipelining role)

Role Description: <ul><li>The APAC Risk Management Legal Entity Oversight Coordinator role provides unique visibility and exposure to different countries, businesses, functions, products, and risk types.</li><li>The candidate will have significant interaction with the APAC CRO, senior management, and subject matter experts as well as direct responsibility for one of the most critical strategic projects in the region.</li></ul> Responsibilities: Key responsibilities are as follows. <ul><li>Establish and ongoing oversight of Legal Entity Risk Management Frameworks (RMF), Policy, Standards and Procedures in line with minimum baseline standards and local regulatory requirements for all applicable entities in APAC.</li><li>Establish and ongoing oversight of the Legal Entity Risk Appetite Framework (RAF), Policy, and Standards in line with minimum baseline standards for all applicable legal entities in APAC.</li><li>Ensure that dispensations are sought where minimum standards are not being met.</li><li>Oversee implementation of Risk Management Information (MI) tools.</li><li>Monitor and report all relevant risk categories and types against appetites set to the relevant committees and/or boards within the region in a timely fashion.</li><li>Perform gap analysis of Legal Entity capabilities against the baseline standards for RMF, RAF and MI for all applicable entities in APAC.</li><li>Establish the necessary remediation plans to ensure a path to green including any interim risk mitigation controls that may be required.</li><li>Participate in Risk MI tool development through the provision of detailed requirements to the development team, participation in UAT, gap analysis and remediation through to go-live in production.</li><li>Transition development of Legal Entity RMF, Legal Entity RAF, and MI to a BAU process including establishing any required annual review process for legal entities.</li><li>Engage with regional peers and central resources on ongoing development to ensure globally consistent approach for any required enhancements of Legal Entity capabilities.</li><li>Participate in Legal Entity tiering discussions (for relevant Legal Entities) including proposals to change tiers, ensuring implications are fully considered and appropriate steps are taken to meet minimum baseline standards.</li><li>Provide strategic analytics and information management to senior management. Responsible for communicating implications of existing Legal Entity-related regulations and developing potential responses.</li><li>Analyze new risk-related guidelines, best practice standards, rules and regulations. Provide updates, as needed, to management and regulators on exam and issue remediation status including progress against milestones, risk identified and any other potential impacts</li><li>Significant interaction with a wide range of senior bank and risk management colleagues, as well as external stakeholders such as regulators / auditors.</li><li>Initiate feedback sessions with global and legal entity teams; leverage feedback to influence change throughout organization.</li><li>Manage regulatory or Internal Audit examinations related to legal entities to achieve full compliance.</li><li>Appropriately assess risk when decisions are made, demonstrating particular consideration for the firms reputation and safeguarding its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.</li></ul> Requirements: <ul><li>Bachelor’s/University degree, Master’s degree preferred.</li><li>10+ years Risk experience in a global organization, with experience in product program governance and risk management frameworks.</li><li>Strong knowledge of multiple risk categories spanning Financial (e.g., Market, Credit, Liquidity) and Non-Financial (e.g., Operational, Compliance, Reputation and Strategic).</li><li>Strong awareness of both bank (including Branch network) and broker dealer chains and their respective strategies, products, risk profiles and regulatory requirements in a global marketplace</li><li>Knowledge of applicable frameworks, policies, and standards.</li><li>Broad understanding of classifiable and delinquency managed credit and operational policies and procedures; ability to interpret financial and risk reporting.</li></ul>

Role Description: <ul><li>The Audit Manager (Technology Infrastructure) will be based in Singapore reporting to the APAC Senior Audit Manager TCTP TI (Technology, Change and Third Parties – Technology Infrastructure) with applicable local matrix reporting.</li><li>The position contributes to the scoping and execution of the overall audit process and delivery of the audit plan for the global TI audits.&nbsp;</li><li>The candidate should possess in-depth knowledge of technology infrastructure such as server and workstation Operating Systems, database management systems, middleware including web-servers, storage systems, voice and data networks, data-protection and cybersecurity infrastructure, data centre operations, IT General Control processes including Information Security along with related risks and controls and technology auditing</li></ul>&nbsp;Responsibilities: <ul><li>Understand and grasp the audit methodology, corporate standards, and internal control processes</li><li>Execute audit assignments through effective collaboration with the regional or global audit teams within budgeted timelines and costs</li><li>University Degree (preferably Engineering or IT related)</li><li>At least eight years of experience of auditing or managing IT infrastructure systems in a medium to large scale environment (preferably in Banking sector) with strong understanding of IT infrastructure risks, controls, and regulations, and project management.</li><li>Preferred to possess subject matter expertise in one or more technology infrastructure disciplines and a strong technology infrastructure knowledge, with a sound understanding of the financial services provided by Company,especially those associated with the ASPAC region</li><li>Demonstrated analytical ability to identify and articulate emerging risks, control issues, and business impact to identify root cause and recommending solutions.</li></ul>&nbsp;Requirements: <ul><li>Strong in written and assertive verbal English communications along with effective interpersonal and negotiation skills.</li><li>Relevant professional qualifications such as Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP) preferred.</li><li>Experience in designing or using Computer Assisted Audit Tools and Techniques (CAATTs)&nbsp;</li><li>Willingness to travel (approx. 25% annually) within APAC or globally</li><li>Lead and execute technology audits by identifying key risk and controls, develop and execute control assessment plans, draft control issues and present them to the technology management, discussing practical solutions</li><li>Through the Business Monitoring process, monitor the risk and control environment of the technology infrastructure operations in the assigned audit entities including emerging risks</li><li>Develop and maintain effective relationship with the business management through effective communication skills with a no-surprises approach&nbsp;</li><li>Assess impact of applicable regulations to the technology processes and adequacy of controls for compliance</li><li>Good knowledge of the modern banking technology systems with awareness of the applicable regulatory requirement</li></ul>

Responsibilities:&nbsp; <ul><li>ICG Risk Analysis Credit Risk Senior Analysts are responsible for a portfolio of ICG Risk Relationships, owning the Credit Risk Analysis for those relationships, and being responsible for the continuous monitoring of that portfolio.&nbsp;</li><li>That includes the production of Annual Reviews, Quarterly Reviews, and the support to Ad-Hoc Transactions and Portfolio &amp; Industry Reviews and Stress Testing.</li><li>This role has responsibility for the portfolio of GIRM Relationships and the role reports directly to the ICG Risk Analysis (IRAU) GIRM Credit Risk Team Lead.</li><li>Assess the credit and financial strength of Large Corporate, Public Sector, and Financial Institutions Clients by performing fundamental credit analysis of counterparties using both quantitative and qualitative factors</li><li>Complete Credit Analysis Write-up Memos and Final Obligor Risk Ratings of Counterparties based on independent assessment and judgement completed on the due diligence of the client and industry knowledge to provide appropriate extensions of credit remaining within Risk appetite</li><li>Continuous monitoring of the covered portfolio, including following industry trends, impacts to key relationships, and escalation of potential credit issues to Credit Risk Team Leads, ICG Risk and BCMA partners</li><li>Partnership with applicable regional and industry stakeholders in BCMA and Independent Risk in the implementation of credit assessment and monitoring standards for applicable portfolios</li><li>Support ICG Risk Analysis Voice of the Employee (VOE) initiatives</li></ul> Requirements: <ul><li>Demonstrable financial services experience, including 2-3 years of credit experience in Banking, Credit Risk Management or equivalent credit experience</li><li>Knowledge of Wholesale Credit Processes and organizational awareness including IRAU functions, covered portfolios, and processes</li><li>Understanding of policies and procedures with the ability to execute change seamlessly</li><li>Intermediate analytical skills, including an understanding of key financial components (liquidity position, leverage profile with the ability to identify root causes and trends and anticipate horizon issues</li><li>Thorough knowledge of systems</li><li>Experience in preparing presentations for seniors</li><li>Awareness and adherence to the control environment including Quality Assurance and Quality Control</li><li>Travel (less than 10%)</li></ul>

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APAC Risk Management Legal Entity Oversight Coordinator

Transformation Roles

Transformation - CVs (Proactive Pipelining role)