Analyst, Operational Risk Management Specialist

Business Function
DBS Vickers (Hong Kong) Limited is part of DBS Vickers Securities Group, one of the largest securities brokerages in Singapore and a leading institutional and retail brokerage in Asia. Backed by the financial strength of DBS Group, we offer a broad range of services from wealth management, financial advisory, research and brokerages.

Responsibilities:

• Performing surveillance review over sensitivity data, best execution, client onboarding and sales process, and conducting call monitoring to ensure compliance with internal policies and procedures
• Coordinating with internal stakeholders to prepare monthly risk forum related materials
• Assisting UORM to manage effectiveness of risk management processes and operational compliance within the first line by preparing risk & control self-assessment ("RCSA")
• Take lead in risk assessments, gap analyses and audit inspections and coordinate with post-implementation monitoring
• Assist in regulatory compliance including but not limited to communicating with the Regulators (e.g. SFC) and other group affiliates to respond to regulatory requests
• Liaising with different stakeholders to ensure timely reporting and review of risk events, incident, or breaches
• Monitoring the monthly quality assurance result of name screening alerts and CDD cases, and escalating exceptions to line manager
• Overseeing business units' business continuity and disaster recovery strategies to ensure the business can provide critical services in the event of a major business disruption

Requirements:

• Minimum 2 years of proven experience in related roles, preferably in banking or brokerage firm
• Strong analytical skills, problem solving skills, and having the ability to apply risk-based assessment in the resolution of complex issues
• Familiar with regulations applicable to brokerage and risk management principles would be an asset
• Able to concurrently manage a broad portfolio of tasks
• Self-motivated with ability to build rapport with other stakeholders and partners
• Strong communication skills with good command of written and spoken English Proficient in Excel and PowerPoint

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We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognizes your achievements.
We regret only shortlisted candidates will be notified.