Your new company

Operates globally in all major locations and is an industry leader in Equities Sales and Trading. The Institutional Equities Division (IED) is a global leader in sales and trading across all product types as well as Prime Brokerage services. In an increasingly competitive and complex regulatory environment, there is a need for a strong and dedicated Business Control Unit (BCU) risk management function to support IED in furthering our market leading position and doing so in a risk focussed and controlled manner.

Your new role

This role will cover Non Market risk elements of the business, including operational, franchise and regulatory risk.

The candidate will need to work with sales and trading personnel and internal stakeholders to ensure that the business is prosecuted in a manner that is well-controlled and in line with the Firms risk appetite. The candidate’s focus will be to investigate operational efficiencies revolving around client management.

Responsibilities will include:

• Management of the Know Your Client (KYC) periodic remediation for IED in the Asia-Pacific region,
• Documentation of processes and procedures around client management (onboarding, offboarding, periodic client review),
• Ownership of business unit operational risk monitoring and remediation processes which entails actively identifying and remediating operational risks in business lifecycle and front to back processes,
• Management risk reporting and escalation,
• Engaging with IED personnel on ad hoc queries

What you'll need to succeed

• More than 3 years’ experience in financial services with specific experience in dealing with equity products across Asian markets
• Strong interpersonal skills and communicate clearly with senior management
• Strong presentation skills with an attention to detail
• Experience having worked in a high pressure, delivery focused environment
• Strong analysis skills and is intellectually inquisitive
• A drive to learn and have strong attention to detail
• Confidence and ability to be self-starter

Technical Skills Needed

• Institutional Securities experience in control/risk functions
• Client management experience
• Operational Risk / Internal Audit / Regulatory background and/or experience an asset, but not required
• Strong Microsoft skills; excel macro experience a plus
• Language skills: English, Mandarin (an asset, but not required)

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.