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Manager/Assistant Manager- Operational Risk
1 week ago
Position Purpose
The position is part of RISK ORM company team with the key role to provide relevant RISK and senior management (Regional/Local & Central) a synthetic, transparent, exhaustive, and consistent view of Operational RISK across Company activities.
Responsibilities
Direct Responsibilities
RISK Framework Assessment
- Management of procedures: Ensure process and procedures issued by the 1st Line of Defense are consistent with Group standards (upper level procedures)
- Management of 1st Level controls: Ensure that the 1st Line of Defense control framework is effectively designed and implemented
- Risk Mapping (RCSA) Challenge:
- Risk mapping: Ensure risks are identified and correctly assessed
- Control mapping: Ensure the control mapping is updated and relevant to risks
- Residual risks challenge
- Review and validation of derogation (exemptions) of procedures and control plans
- Incident Management:
- Challenge incident management and action plan
- Analysis of the impact on Framework, RCSA, process
- Perform Quality review of Incidents (HIs as well as BTHIs)
- Action and pending recommendations:
- Monitoring of closure of action plans of IG / Regulatory Recommendations and Control Testing observation
- Coordination of OR&C reporting
RISK Thematic Reviews
- Review of a specific activity or process in a control perspective
- Review of the process
- Review of 1st level controls performed on these process
Governance:
- Prepare, organise and secretariat the committees at company level in liaison with company relevant teams.
- Ensure comprehensive coverage of agenda items as per Head of Territory Charter
- Monitor the action plans identified
Independent Control Testing for company
- Supervise First Line of Defense Control framework through adequacy assessment, verification and challenge
- Ensure that 1st level controls are performed in line with procedure and properly documented (audit trail)
- Ensure that ?unsatisfactory? controls resulted in the implementation of an action plan
- Execute relevant 2nd level controls (Re-performance) on relevance and performance of local extensions of generic control plans including Compliance delegated GCPs, if any
- Assist and advise the 1st Line of Defense in company on 1st level controls improvements
- Proactively promote its consistency across the RISK ORM community, and its availability to relevant levels of management (within RISK, M�tiers & Functions, Territories), to appropriate committees (e.g. ICC), and to external parties where needed (incl. Regulators as per the request through onshore stakeholders)
- Alert and escalate on attention points resulting from the controls
- Propose improvements for the control plans whenever required based on the holistic view of the controls
- Proactively liaise with 1stLine of Defense in company as well as RISK ORM business and transversal topic teams to ensure the controls are up to date with risk climate by communication with RISK ORM business theme teams
- Contribute to the quality review of Incidents lookback and New Activity Review process
- Produce a synthetic, comprehensive, and actionable testing results finding and recommendation reporting to senior management and RISK locally / regionally and centrally
- Contribute to RISK ORM Group & global initiatives as applicable to company
Awareness / Training / Animation:
- Promote and drive awareness to risks across company;
- Organise and lead risk meetings, forums and committees with community members.
Innovation:
- Watch out for innovative ideas and application of new technologies
- Watch out for trends and market disruptions and detect emerging opportunities
Interactions:
Company Stakeholders (M�tiers and Functions)
- Company COO
- 1st Line of Defense M�tiers & Functions (incl. OPC teams ) in company
RISK
- Head ? RISK ORM ? India
- Head ? RISK ORM ? CIB ? APAC
- Head - RISK ORM ? CIB ? Global
Relevant Heads / team members of APAC RISK ORM CIB Business teams and other transversal topic teams (3rd Party, IT/Cyber, Anti-Fraud) for relevant topics
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