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Risk & Control Lead, Vice President - Issuer Services

Job Req ID 21336512 Primary Location Kowloon, Hong Kong SAR Job Category Operations - Services
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The Issuer Services Controls Lead Analyst will form part of a global team focused on operational risks and controls working in collaboration with the existing ISG Operational Control function and ISG Operations & Technology teams and management structures to ensure an effective control environment. A solid understanding of products and services related to Issuer Services, is critical in order to contribute to the commercial objectives of the business while also strengthening internal controls. This role will incorporate, but is not limited to, oversight of operational risk events (ORE), management of corrective action plans, preparation of management’s control assessment (MCA) process, engagement with Internal Audit and participation in control forums. This resource will face off directly with the business, technical, and operational teams.

This is an important role, reflective of the increasing criticality of strong risk and control focus within a large operations organization such as ISG. The Risk and Controls unit is responsible for executing against ICG’s delivery commitment related to Consent Order programs, External and Internal audits, and Risk & Control objectives.

Key responsibilities include:

Risk & Controls Governance

·Audit – Lead and manage internal and external audits through the various phases, including establishment and tracking of Corrective Action Plans (CAPs) when required

·Policy/ Guidelines - Awareness, implementation guidance, and enforcement of related policies and procedures across the region

·Advisory – Subject matter knowledge related to Issuer Services and trusted advisor on risk and control issues to management and staff

·Alignment – Ensure alignment to the global, regional and country controls framework as required

·Approvals – Review process changes/implementation which may impact controls and provide approvals – e.g. control change and new process acquisition

·Control dashboard/ KRI – ensure the control dashboards are updated to provide management with a clear view on ongoing risks/issues

Self-Assessment/ Review

·MCA - Perform testing of complex MCA risk indicators and assist in the overall MCA process including co-ordination of testing and results

·Controls Reporting oversight – Oversight of regional MCA process including ensuring robust MCA’s exist across all processes and co-ordination of testing and results, inclusive of self-identified issues (IBAM), regulatory or audit issues and recommending suitable solutions/of Corrective Action Plans (CAPs)

·Identify open gaps and work with the operations functions to implement effective CAPs with an aim of reducing/ mitigating risk and maximizing IBAM credit

·Targeted process reviews – Conduct Process review of emerging risks and new functions/ high risk areas and ensure results are shared and actions taken to resolve potential gaps

·CAP Validation – Management and oversight of CAP review process and validation of corrective actions implemented, and liaise with appropriate groups to ensure timely closure

Leadership/ Projects/ Metrics

·Coach and lead junior Risk and Control analysts in their day to day work across the various ISG Operations groups

·Projects – Oversee/ drive regional or global risk and control related projects and other group level initiatives

·Innovation – develop methods to make the Risk and Control team more efficient and ensure local processes are considered in global initiatives

·Presentations – presentation of open issues, CAPs, KRIs, R&C projects for regional and global partners/ leaders

·Relationship Management – Develop strong partnerships within ISG operations groups, as well as other organizations supporting ISG activities (IA, Compliance, etc.)

Knowledge/Experience:

·Experience in leading a team

·Knowledge of risk and controls gained through previous roles

·Knowledge operations risks and controls within Issuer Services Operations is an advantage.

·Understanding of Citi’s internal risk & controls policies and processes and the ability to quickly identify areas of weakness

·Experience of an operations environment and awareness of the related risks a must

·Internal Audit, Compliance Assurance or Controls experience is preferred

Skills:

·Ability to manage control practices demonstrating a risk-based approach

·Ability to perform reviews or processes and identify issues/ gaps

·Possess the ability to work with various levels of management and build and maintain effective working relationships

·Strong influence/negotiation skills

·Able to interact with Auditors, Compliance and Independent Controls Groups as required.

·Excellent written and verbal communication skills and aptitude in communicating with senior management

·Creative, innovative, dynamic, high energy levels with strong initiative

·Strong analytical and time management skills, excellent attention to details

·Proficient in MS Office products, particularly Excel and PowerPoint

Qualifications:

·Bachelor’s Degree or higher with at 12+ years’ experience in relevant domain

·Risk management experience in an operational role is preferred but not essential

·Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience

Competencies:

·Independent and strategic thinker

·Ability to work to tight deadlines as part of a team

·Can make decision quickly

·Exhibit good attention to detail while focused on delivery

·Ability to work on several initiatives concurrently and cope with changes in priorities

·Strong leadership skills with a proven track record in making a positive impact on the organization

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Job Family Group:

Operations - Services

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Job Family:

Reference Data Management

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Time Type:

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Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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