Director, Head of Business Risk, Capital Markets & Advisory Asia

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Our COO team delivers strategic execution for Corporate and Institutional Banking (CIB) across the globe. Through transformative data and digital solutions, customer servicing, and non-financial risk expertise, this team is where problems are solved, and careers are made.

CIB COO focuses on these key priorities:

• Protecting the bank, our customers and stakeholders by enhancing our operational resilience, strengthen our control environment, and improve risk management.
• Driving operational excellence and efficiency by optimising our processes and delivering the transition to net zero in our own operations.
• Enabling business growth exceptional service by enabling our businesses to focus on our competitive advantage and deliver transformation and digitization across the bank.

We are looking for an experienced individual to join our team in the role of Director, Head of Business Risk, Capital Markets & Advisory Asia. This is a key leadership role within the Global CMA Business risk team as well as the Asia and Middle East Corporate and Investment Banking Business Risk team.

Role Overview

Capital Markets and Advisory (CMA) ambition is to be the leading global financing powerhouse, complemented by targeted strategic advisory capabilities, as a trusted partner for clients. The CMA business focuses on three strategic pillars:

1. Financing solutions: Debt Capital Markets, Leveraged & Acquisition Finance, Strategic Equity & Financing, Corporate Risk Solutions, Structured Finance.
2. Corporate Finance: comprises sector bankers and country teams providing strategic content and thought leadership to the C-Suite of our Corporate and Financial Sponsor clients to support our financing ambitions globally and our strategic advisory ambitions in Asia.
3. Strategic Advisory: a focused M&A and Equity Capital Markets capability in Asia.

Your responsibilities will include:

• Ensuring that the Capital Markets and Advisory business takes proactive steps in managing conduct, compliance, legal and regulatory risks across the portfolio of products.
• Take ownership and lead (on behalf of CMA) a range of projects that may arise as a result of identified control issues, internal or external trigger events and/or regulatory changes.

The role-holder will:

• Act as the primary lead to deliver on key programmes of work for CMA business risk,, including (but not limited to) material external trigger events, internal read across, and identified control issues within CMA
• Ensure the CIB conduct framework is operating in line with expectations and conduct issues are managed and escalated appropriately.
• Manage a robust risk governance framework, ensuring Risk Owners, Control Owners and Stakeholders manage key risks within risk appetite
• Proactively assess risks and controls across the CMA enterprise to identify areas of focus and to surface these to senior leadership, risk stewards and other key stakeholders in a timely fashion
• Secure support from the business and/or wider CIB to ensure resource and budget is allocated to deliver on key projects
• Appropriately prioritise key initiatives work applying risk-based judgement to make recommendations to senior leadership on resource allocation and prioritisation of work
• Oversee the coordination of the IB Risk Management governance meeting ensuring quality and completeness of the content
• Design and embed an escalation framework for CMA that includes key communication frequency/content/audience for the identification and remediation of material issues
• Keep abreast of key changes and developments to relevant regulations and provide updates to the Regional and in-country management teams.
• Act as the primary contact (alongside Global Head of IB Business Risk) for key relationships with the relevant CIB COO teams eg. Information Controls, Reg Change, Governance, Policy/procedure, Business Risk framework etc.
• Manage and foster good relationships with relevant risk stewards and internal audit to ensure feedback and engagement from 2LOD and 3LOD colleagues when delivering projects

Qualifications

The ideal candidate for this role will have the following experience and qualifications:

Functional Knowledge

• Significant experience and/or understanding of the key product groups under CMA with particular focus on ECM and M&A.
• Strong knowledge of Corporate and Institutional Banking
• Understanding of financial and non-financial risks within investment banking
• Knowledge of regulatory compliance in the context of banking
• Exposure to key client conduct issues and related regulatory regimes is an advantage

Experience

• Experience in frontline banking and/ risk management
• Experience/background in Regulatory Compliance, Legal and/or Regulatory change
• Project management experience and/or evidence of leading complex projects across multiple jurisdictions
• Experience in working with stakeholders from different business & cultural backgrounds
• Experience working in a dynamic and demanding environment

Relevant Competencies

• Ability to work independently and with a strong degree of flexibility
• Strong Interpersonal and communication skills
• Ability to work under pressure with tight timelines
• Ability to build trust with a range of stakeholders

Opening up a world of opportunity
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