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Officer, Global Markets Operations
- Receive and process structured settlement instructions, monitor the settlement lifecycle, identify and escalate exceptions within specified deadlines, and respond to basic client queries to optimize the number of transactions that settle within deadline.
- Attend the required training and adhere to relevant controls, policies, processes, procedures and instructions and identify and report incidents to limit and mitigate risk and fulfil regulatory / legislative requirements.
- Check external source of data to validate/match information, escalate unresolved items and consolidate and prepare documentation for validation and approval to facilitate the billing of claims, fees or penalties.
- Complete the check-sheet (Control First) at the end of day to confirm that all assigned tasks are completed according to guidelines and deadlines.
- Conduct basic investigations, timeously flag and resolve structured exceptions with the support of internal stakeholders (e.g. Traders and Trade Support) and/or speedily escalate to maximize the number of trades settled within specified deadlines to ensure risk to Wholesale Bank is minimized and client experience is optimized.
- Contribute to the operational risk report and other management information by logging information (e.g. key risk indicator capture) to facilitate accurate management information and reporting.
- Establish internal stakeholder relationships within Settlements to ensure the efficient and effective resolution of simple queries and exceptions for vanilla products.
- Identify and raise potential issues internally that could result in a failed trade.
- Identify and report operational incidents and issues internally to ensure delivery of high-quality service.
- Identify discrepancies with information captured by counterparties (internal and external) and manage basic queries for structured settlements by referring to the relevant stakeholders and requesting amendments to verify the accuracy of the settlement.
- Monitor and track queues / systems for structured products (single product) to identify failed / unmatched settlements. Generate reports and instructions from the system to manage and mitigate settlement risk.
- Type of Qualification: Bachelors Degree
- Field of Study: Business related studies
- 1-2 years
- Basic knowledge gained in a bank or securities environment. General payments / settlements experience will be advantageous.
- Basic knowledge of operating systems (basic SWIFT) and Financial Markets knowledge.
Business Support Analyst, Risk
MAIN PURPOSE OF THE JOB
- The purpose of the role is two-fold i.e., to provide comprehensive administrative support to the CRO which entails amongst others diary management, booking travel, co-ordinate team events etc as well as supporting the reporting of various risk initiatives to the bank’s governance forums
- The second critical function of the role is strategy enablement which entails amongst other key deliverables includes co-ordination of the strategy planning and execution cycles, following up and ensuring successful closure of action plans relating to performance of the Risk function relative to the bank’s strategy, risk teams productivity monitoring, management of risk communications across the bank as well as monitoring and reporting of continuous improvement initiatives
- Maintain and update the calendar and schedule of recurrent meetings for the Unit Head
- Proactively manage all key events in the Risk calendar (Risk Conference, Strategy offsite, People Day etc)
- Managing travel & accommodation for the Unit Head and Manco members when on official bank business
- Arranging team events – working with relevant internal teams and externally with vendors to ensure successful delivery of Risk team events
- Taking minutes for various Risk Manco & Govo meetings and ensuring all actions are closed in a timely manner
- Leave management – working closely with Manco members to ensure adherence to leave policy on behalf of the CRO
- Supporting a seamless onboarding experience of new to bank staff in Risk with relevant teams in P&C and Technology
Strategy formulation and execution
- Support the CRO with the formulation of the Risk function’s response to the bank’s strategy and monitoring the effective execution against the set strategy
- Coordinate and support the overall budget and other planning activities in coordination with the Manco members.
Monthly Productivity Monitoring
- Track delivery of risk objectives on a monthly and quarterly basis for reporting to the Risk Manco, the Risk team as well as the wider bank.
- From time to time and as agreed with the Head of Governance, work closely with the Governance team to support the preparation of risk reports for submission to Governance forums
- Following up closely with the Governance team for timely closure of internal audit, CRAR and CART actions
- Working with relevant Manco member responsible for continuous improvement initiatives to track and report on progress and outcomes of identified initiatives
- Conduct post implementation benefits review of productivity improvement solutions to ensure key business objectives are delivered
- Arranging the fortnightly risk check-in sessions (via MS Teams) and play a key role in identify topics for discussion and securing key speakers for those topics with support from the CRO
- Coordinate distribution of Risk team communication across the bank with the Brand and Marketing team
- Support scheduling bankwide ‘hot topics’ townhalls or other digitally held meetings such as ‘silly season’
- Type of Qualification: First Degree
- Field of Study: Business Commerce and or Finance and Accounting
- A professional qualification such as CPA or ACCA will be an added advantage
- Business Management
- Business Support
- 2-3 years
- Experience in managing projects to completion to achieve defined business objectives or metrics.
- Strong interpersonal skills – ability to interact with senior level internal and external contacts
- Excellent communication skills – both written and oral (including facilitation, negotiation and presentation skills)
- Excellent numerical ability
- Excellent report writing and editing skills (as opposed to general written skills)
- Strong comprehension skills – read, assimilate, summarise efficiently
- Flexibility, adaptability and demonstrated ability to multi-task effectively
- Building and maintaining strong working relationships
- Assertive and ability to get things done
- Ability to prepare high quality presentations for internal and external audiences
- Keeping information confidential given the reporting line and the matters dealt with at the Risk department
- Project a professional image to all persons and respond in an efficient and timely manner
Manager Internal Controls – Technology
Job Purpose Description
- Maintain an optimal control framework for the Technology that facilitates a proactive approach to issue identification, resolution, escalation and implementation of actions to manage control gaps in order to mitigate any risk that could occur and cause losses to the Group.
- This role requires collaboration with the different business heads and assurance service providers to provide assurance on the control and risk environment of the business.
- Effective implementation of the operational risk framework i.e., RCSA & KRIs roles as per the approved risk management framework.
- Conduct regular risk assessments and evaluations to identify vulnerabilities and potential weaknesses in the bank’s technology and cybersecurity controls.
- Implement monitoring mechanisms to track emerging risks and promptly respond to incidents.
- Develop of the universe of annual Technology control assurance reviews.
- Ensure that formal planned reviews and spot checks are conducted across the Group in line with the risk-based engagement methodologies, and present reports and risk insights to relevant portfolio stakeholders and governance committees.
- Conduct special reviews upon specific request by business unit/ enabler management as appropriate.
- Monitor that tracking of remedial actions from internal audits, regulatory reviews, internal control reviews and other such assurance reviews is undertaken as agreed with the business units. This will involve validation of implemented interventions prior to closure.
- Timely provision of routine dashboards as per determined frequency, monthly and quarterly reports on activities and the state of the control environment to executive, business / enabler unit management, risk, compliance, internal audit and ROA risk partners.
- Work closely with stakeholders to communicate policy changes and facilitate adherence across all levels of the organization.
- Coordinate with relevant stakeholders to resolve issues promptly and minimize potential impacts.
- Ensure that formal root cause analysis for control failures is conducted across the Group and appropriate remedial actions are identified and implemented.
- Escalate breaches and incidents for more serious control breaches that require senior management direction as per the appropriate escalation processes, including active participation in the remedial actions.
- Assist in developing of comprehensive technology risk management frameworks, policies, and procedures to identify, assess, and mitigate potential risks associated with the bank’s technology infrastructure, systems, and applications.
- Facilitate the translation of regulatory directives into operational processes & controls.
- Identify inadequate processes and controls and provide Non-Financial Risk and Compliance and/or Business Units/ Enablers with the irregularities to facilitate the modification of processes where required.
- Prepare comprehensive risk reports and presentations for senior management, and relevant management committees. Effectively communicate complex risk matters in a clear and concise manner.
- Develop effective, collaborative relationships with all relevant stakeholders, Senior management, and business lines to ensure a cohesive approach to risk management and promote a strong risk culture throughout the organization.
- Participate in the bank’s business initiatives, forums, committees, policy / process development or reviews, e.g. risk & compliance committees, new products, projects etc. to ensure that control requirements are appropriately considered executed and reported.
- Bachelor’s degree in computer science, Information Technology, Risk Management, Finance, or a related field. Advanced degrees or certifications like CISM, CRISC, CISA or CISSP are highly desirable.
- Minimum of 10 years of relevant experience in technology risk management, cybersecurity, or internal controls within the financial services / banking industry.
- Proven track record of successfully leading and managing a team of professionals.
- In-depth knowledge of technology and cybersecurity frameworks, standards, and best practices (e.g. ISO, COBIT), IT governance and project management.
- Familiarity with relevant banking regulations and compliance requirements.
- Understanding of IT general controls and a deep understanding of technology risks.
- Possess relevant technology skills including data analytics or information systems auditing skills.
- Proficiency in use of data analytics tools preferably with demonstrable scripting skills.
- Strong analytical and problem-solving skills, with the ability to assess complex risk scenarios and propose effective solutions.
- Excellent communication and presentation abilities, both written and verbal, to convey complex technical concepts to non-technical stakeholders.