Associate - Risk and Control, Operations - Hong Kong

Nomura Overview

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.

Job description

•Manage the Risks and Control Self-Assessment (RCSA) process for Operations, challenge the appropriateness and completeness of the risk repositories with the functional managers (where required) and interface with ORM for addition of new risks / amendment of existing risks, etc.
•Oversee the KRI breaks and exceptions periodically to assess impact
•Analyse incidents / events, perform root cause analysis and identify the strategic outlook of actions proposed
•Participate in Quality Assurance reviews (post appropriate training to conduct such reviews)
•Engage in discussions concerning the control framework with Internal / External Auditors (audit related); cooperate in completion of such audits as well as the SOX Audits
•Collaborate with cross divisional / regional counterparts on initiatives looking to enhance the control and governance framework for Operations
•Participate in initiatives launched by the Control team to pave way for a better control framework within Operations
•Ensure consistent understanding of relevant of standards and guidelines applicable to operations
•Prepare materials for training, awareness, case study sessions on themes relevant to the current control environment to ensure uniform appreciation of existing risks and controls among the Operations teams
•Prepare relevant updates for cross border forums, monthly meetings, etc., as required.

Key Experience & Skills

•Has a bachelor's degree or equivalent in Finance or related subject
•Has relevant audit or risk management background
•Has experience in control assessments, preferably utilizing data analytics where applicable
•Is a confident communicator with good presentation skills
•Is comfortable with negotiating; possesses an ability to seek buy-ins from key stakeholders
•Has a keen attention to details, able to multitask and enjoys problem solving
•Possesses strong analytical skills and an ability to quickly learn new products and systems; needs to be able to thrive in a challenging constantly changing environment
•Is dynamic - with a strong character and excellent interpersonal skills

Regional Disclaimers / Diversity Statement

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.