Senior Officer, Business Control (Transaction Surveillance), Treasury & Markets Group

Key Responsibilities

• Assist Operational Risk Officer (“BORO”) and Head of Business Control Management (“Head of BCM”) of Treasury and Markets Group (“TMG”) to identify measures, mitigate, control and monitor operational risk; and ensure the timely and effective implementation of risk and control related initiatives, policies and tools.
• Work closely with front office staff within TMG to identify material operational risks and perform transaction surveillance in their day-to-day and regulated activities.
• Manage the Bank’s communication and transaction surveillance tool. Design the monitoring logic and criteria in the tool to align with Bank’s compliance risk appetite in identifying exceptions.
• Assist BCM team to ensure adequate procedures, guidelines and records are in place to effectively address surveillance monitoring requirements in order to facilitate regular management reporting and ensure timely escalation to senior management for conduct risk cases.
• Assist BORO on various operational risk initiatives including control assurance, risk reporting, projects, trainings for frontline staff, etc. to ensure timely implementation and ongoing effectiveness of key controls.
• Work closely with other control units in the Bank such as Operational Risk Management, Compliance, and Internal audit to perform the role duties.

Requirements

• Degree holder in Business, Finance or related discipline
• Minimum 2 years of relevant experience in in front office Sales & Trading or supporting functions e.g. Business Management, Middle Office, Risk management, Compliance, etc.
• Good knowledge in operational risk management
• Excellent analytical, interpersonal and communication skills
• Self-motivated and attention to details
• Proficiency in written and spoken English and Chinese (including Putonghua)