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The Resiliency and Control Management (RCM) office is a key function for Operations in the current environment and to meet the increasing demands from the business and regulators, the role has continued to evolve. The focus of the role is now on ownership, enhancement and execution of the controls and is becoming more closely aligned with the operations.
RCM is responsible for the oversight of the Control Environment for the Operations functions that support the business. RCM provides both business and BCOs with a comprehensive view of Operational Risk Posture.
Acting as trusted Operations control advisors and as a first line of defense with
Executing and implementing Operations control priorities and strategy.
Leading Operations supervisory management and execution.
Managing control and risk governance implementation and reporting.
Driving risk mitigation and control remediation programs across the business.
Governance and Oversight
Responsible for governance of controls in aligned CIB Operation groups. Partners with BCO to implement COR standards, design & implement CIB specific framework
Chairs Operations metric review meetings and manages Operations error and event escalations to the appropriate committee and/or forum
Participate in control meetings to provide view on Operations control risks and issues
Participate in Keys Committee to provide (through consensus) Operations approval.
Facilitates review and sign off for Operations attestations
Regulatory & Audit Management
Be able to manage external exams and RFIs
Be able to manage internal reviews and requests for information (i.e. from Internal Audits, Compliance)
Lead remediation of gaps post exam and all coordination of issue and action plan management (including sustainability)
Focus on themes, underlying patterns and opportunities for Operations to proactively address concerns and avoid future Regulatory actions
RCMs should be familiar to of the regulatory obligations for their coverage area operational activities in order to assess the effectiveness of the controls designed to ensure compliance with those obligations.
Partners with Legal and Compliance to confirm impacts from regulations and ensures proper implementation.
Partners with Operations to prepare for audit / compliance testing
Risk Identification and Assessments
Provides oversight and review of Operations errors in accordance with the Corporate Operational Risk Event Standards and manages escalation to the relevant control committee
Review and evaluation of emerging risks & Internal / External event review
Responsible for execution of the Risk Control Self-Assessment (RCSA)
SOX testing and SOC1 delivery
Policy and Procedures
Support the implementation of Corporate owned Policies, with specific focus on the design of Operations controls required to comply with the policy.
Oversee the implementation of Operations owned Policies and Standards. Lead the definition and implementation of enhanced controls required to fulfil regulatory commitments and evidence sustainability
Oversee the development and implementation of procedures which describe process, controls and governance for all policies and standards which impact CIB Operations
Partner with Legal and Compliance to review, refine and enhance policy prior to publication
Training and Awareness
Input and co-ordination in executing training
Monitor compliance with mandatory training requirements across Operations
Monitor and oversee timely closure of Operations issues and action plans
Perform deep dives to determine root causes, initiate thematic reviews, review metric/trends, and remediation actions
Responsible for periodic health checks to ensure ongoing adherence to policies and standards. Where appropriate oversee remediation of issues
Supports the Central Controls Office with the coordination and execution of Global Control Projects and Programs
Qualifications / Experience Requirements:
Mandarin skills (speak, read & write)
Previous relevant risk and control experience, if possible
Previous relevant business and product knowledge.
A strong sense of ownership and responsibility.
Ability to produce clear, concise, relevant and accurate documentation.
Strong analytical skills with complementary communications and presentation skills with attention to detail and accuracy.
Drives results through leadership, people, communication and influence.
Comfortable with change, ambiguity, debate, conflict and informed risk taking.
Able to manage and deliver on multiple streams of work concurrently.
Willingness to make decisions, while ensuring buy in from stakeholders.
Ability to challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective.
A relevant professional qualification is desirable; ACA or IIA for example or external audit experience of an accounting firm.
Internal Number: 6362192
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