大手証券会社でのRisk and Control Specialistの求人

Global Operations Head Office is responsible for process controls and risk management within Operations, as well as the preparation of management information and regulatory reporting. In addition, it promotes organizational/digital transformation and handles administrative duties. The division works on stable and efficient securities back-office operations while collaborating with other operations functions and internal business partners in the region and international locations.

Risk and Control team ensures operations functional groups in the region to have the adequate operational process controls in place, which is consistent across functions and regions, where appropriate. Team also assists operations management members have the holistic risk view within her/his organization through various risk management routines and activities including but not limited to key risk indicators, management information, RCSA uplift, and continuous monitoring assessment. Risk and Control partners with other operations functions in Japan and international locations as well as control experts from other departments such as risk management, compliance, and internal audit.

●Responsibilities：
・Enhances risk culture within operation’s organization through error escalation and analysis, KRI/KPI monitoring, RCSA uplift, and risk management training for new joiners and managers.
・Assists management members have holistic risk view for the responsible areas through red KRI escalation, control monthly highlight and weekly risk event report for the management to effectively allocate resource and budget where most needed.
・Partners with control experts to enhance robust control framework adopted firm-wide, including new risk policy syndication and audit read-across.
・Assists operations functions set up the global/regional operational policies and standards/procedures such as documentation of EUC/RPA management, escalation, and regulatory reporting.
・Conducts training and control related information syndication within the organization.
・Coordinates new product approval process to ensure timely turn-around and approval tracking for operations, while liaising with process administrator group and business requestors.

●Mandatory
・Good understanding of financial products and processes
・Business-level English skill or above
・Strong problem solving and project driving skills

●Preferred
・Good understanding of the process risk management
・Good understanding of the regulatory development

※JSDA Sales Representative Qualification - Class 1 requires, if not, required to get one.