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Regional Head of Risk & Control, Client Assets

  • Client Assets Compliance
  • First Line of Defence
  • Regional Leadership Role

Recognised as a stable banking group with a strong international presence across Corporate, Investment Banking and Markets, our client is also known for continuously strengthening its risk and control framework. A key priority is to further develop its risk, controls, compliance and protections around Client Assets and the bank is now seeking a high-calibre Risk & Control professional to join and lead the Regional Team overseeing the Control and Risk Management of Client Assets matters for the Global Markets division.

The key responsibilities for this position are as follows:

  • Lead the APAC regional Client Assets Risk & Control team in Global Markets.
  • Put in place controls and risk management measures to ensure compliance to rules and regulations within Asia, UK and US on Client Assets matters.
  • Provide governance oversight in the region around new businesses and existing businesses, running governance initiatives with regional heads from the business and support functions.
  • Lead regulatory change initiatives, discussing and recommending solutions / changes to management due to new rules.
  • Lead the team to perform compliance risk assessment and testing, deep dive product review, assessment on client assets protection system and framework, client assets calculation, regulatory returns submissions and regulatory change projects.
  • Ensure timely escalation and remediation of client assets incidents.
  • Liaise with regulators and auditors in managing internal and external inspections

Successful applicants will have the following skills and experience:

  • University degree with minimum 12-15 years relevant experience in Markets Compliance, Operational Risk, Internal Control, Audit, Business Supervision and / or 1st Line Defence functions from an international financial institution.
  • Strong knowledge in international Financial Markets regulations related to Client Assets.
  • Familiarity to Financial Markets operations and processes.
  • Proven experience in leading a regional team.
  • Excellent communication skills with fluency in English.

Information provided is for recruitment purposes only.

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