Risk Control Specialist, Equities My

2 weeks ago

Malaysia CIMB Group Full time

**Key Responsibilities
**Drive Strong Operational Risk Management Practices**
- Proactively manage the risk in the Division/Department to reduce the likelihood or impact of negative events.
- Responsible to report and promptly escalate, where necessary, risks to the Head of Division/Department in a timely manner so that the Head of Division/Department has a clear view of the overall control effectiveness of the unit.
- Execute the operational risk framework of the bank in a robust and disciplined manner to achieve sound risk management practices.
- Proactively collaborate and engage with the second line of defense to achieve an optimal outcome of risk management for the Bank. Proactively validate division/department policies, procedures, SOPs for completeness and accuracy, sign off on all SOPs, including validation of tests done by QA Testers/DCOROs.

**Promote and Maintain Regulatory Compliance**
- Execute the compliance risk framework within the Department in a robust and disciplined manner to achieve sound compliance risk management practices.
- Support and lead the Department in relation to proactive identification and management of compliance risks. Proactively identify areas with ineffective controls and work with the relevant stakeholders to enhance overall control environment to mitigate compliance risks.

**Champion the Risk and Compliance Culture**
- Establish a reverence for strong risk management.
- Facilitate strong partnerships with various stakeholders, determine best methods of communication and establish escalation model.
- Ensure alignment of tasks between the three lines of defense to minimize overlaps or gaps arising from execution of role and responsibilities.
- Assist the RCU Head in his/her duties to raise awareness on operational risk and compliance, within the Department.
- Ensure every business and support unit within the Department has appropriate RCS, DCORO and QA testers and the appointments are properly executed via GHR.
- Track and maintain an updated list of RCU team members (onboarding and offboarding) within the Department.
- Facilitate all relevant trainings within the Department and cascade relevant risk information or program updates to the RCU team including DCOROs, QA testers and respective business heads. Provide guidance as needed to support RCU team.

**Employee Engagement and Development**
- Monitor performance of the relevant RCU team, including DCOROs and QA testers by soliciting and incorporating performance feedback from Head of Group ORM, Head of Group Compliance and RCU Head.
- Develop direct and indirect subordinates by ensuring each has a well thought through and executable action plan to help them achieve their development goals and needs.
- Provide timely feedback to staff and complete appraisal processes in line with the Bank’s process.
- Comply with HR performance processes and meet internal KPIs.
- Attract, develop and retain talent. Lead and actively support the team to encourage and create an environment that encourages open and honest dialogue and escalation of issues.

**Key Requirements**:

- Educational qualification: Bachelor Degree holder or equivalent.
- Professional qualifications: Professional or post graduate qualifications (Chartered Accountant, CFA, MBA, LLB).
- Minimum 7 years of work experience with relevant experience in risk/audit/compliance/legal related role.
- Excellent communication skills, both verbal and written.

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