Fixed Income Division (FID) - Business Unit Risk Management (BURM) ED

Position Description

The Risk Control Group (RCG) provides oversight of regulatory and Firm requirements for supervision, surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for FID including Commodities. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies. RCG members are part of the FID Non-Market Risk Management structure.

The RCG team fulfills a front office advisory role as the first line of defence. The scope of work includes escalation, oversight, project execution, control ownership, risk assessment / acceptance, as the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners.

RCG is looking for an Executive Director to drive and lead the RCG program for FID Asia with a focus on communications surveillance, client communication documentation review, information security and delegated supervision duties.

Responsibilities will include:

• Leading a team in performing risk reviews of employee communications (verbal and written)
• Representing Asia FID in global supervision committees and forums
• Reviewing trade ideas/commentary and in-depth analysis of market sectors or names
• Reviewing surveillance reports and managing the mappings and assignments of surveillance and other reports across the Division
• Performing risk assessment on information security and providing risk acceptance if appropriate
• Engaging with global RCG team to focus on and deliver increased automation and standardization across applicable surveillance processes
• Engaging with FID Sales and Trading contacts and other stakeholders to build awareness of Non Market Risk and RCG's continued focus on proactive and effective surveillance and supervision
• Working with Compliance, Technology Risk and the FID Sales and Trading desks to identify risks and determine due process.
  Position Description
  
  The Risk Control Group (RCG) provides oversight of regulatory and Firm requirements for supervision, surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for FID including Commodities. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies. RCG members are part of the FID Non-Market Risk Management structure.
  
  The RCG team fulfills a front office advisory role as the first line of defence. The scope of work includes escalation, oversight, project execution, control ownership, risk assessment / acceptance, as the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners.
  
  RCG is looking for an Executive Director to drive and lead the RCG program for FID Asia with a focus on communications surveillance, client communication documentation review, information security and delegated supervision duties.
  
  Responsibilities will include:
• Leading a team in performing risk reviews of employee communications (verbal and written)
• Representing Asia FID in global supervision committees and forums
• Reviewing trade ideas/commentary and in-depth analysis of market sectors or names
• Reviewing surveillance reports and managing the mappings and assignments of surveillance and other reports across the Division
• Performing risk assessment on information security and providing risk acceptance if appropriate
• Engaging with global RCG team to focus on and deliver increased automation and standardization across applicable surveillance processes
• Engaging with FID Sales and Trading contacts and other stakeholders to build awareness of Non Market Risk and RCG's continued focus on proactive and effective surveillance and supervision
• Working with Compliance, Technology Risk and the FID Sales and Trading desks to identify risks and determine due process.