Equities Business Supervision and Conduct Risk, Senior Manager

The role will be reporting to the regional head of the team and work in a small team of experienced professionals across different locations globally.

Responsibilities

- Coordinating Global Markets front office to ensure adherence to regional supervisory procedures, whilst maintaining global consistency of approach where appropriate

- Delivery of Global Markets front office requirements including driving embeddedness of Supervision framework through training programs, regular updates and targeted communication plan, etc.

- Working closely with senior management to ensure remediation plans are created and where necessary resources aligned to address control weaknesses identified

- Ensuring local/regional supervision infrastructures remain compliant with relevant regulatory and statutory requirements at all times while supporting the establishment of global minimum standards for Nomura

- Coordinating Front Office RCSA (Risk Control Self Assessments) process, ensuring correct prioritisation, participation, frequency and challenge of outputs. Where necessary work closely with relevant business leads and supervisors to prioritise remediation of control weaknesses

-Monitoring of Operational Risk Events and tracking timely closure across the business and escalation where necessary

- Monitoring of on-going Global Markets Audit reviews engaging IA in constructive dialogue ahead of finalisation of audit findings

- Working closely with GM business leads and supervisors to ensure remediation plans are created and where necessary resources aligned to address control weaknesses identified

- Support business management in the regular review of Conduct Risk KRIs and dashboards

Requirements

- At least 10 years in Supervision, Operational Risk Management or internal control function
- A good understanding of regulatory and supervision standards and requirements including experience of working with key risk indicators, performance metrics, and multiple data sets.
- A strong understanding of investment banking products and services including Equity and FICC trading, Sales, Origination and Research, processes and the associated controls
- An ability to remain objective and to independently raise areas of risk exposure

If you would like to apply for this role or find out more, please apply online or contact Christy Zhang at Robert Walters on 2103 5302 or Christy.Zhang@robertwalters.com.hk quoting the Job Reference 1109730.