Head of Risk & Control, Japan Branch Operations recruitment

Responsibilities:

(Risk)

• Cope with external examinations conducted by JFSA and BOJ in Japanese, and Internal Audit and others inspections and testing.

• Manage the day-to-day operations of Risk Control functions.

• Assess the control environment of the various Operations functions in Japan Branch Operations.  Initiate implement and coordinate all controls related initiatives in coordination with Regional Group Services Control and Risk Services.

• Review of SOX and Are You in Control (AYiC) testing and validate results in SONAR as well as report any exceptions to APAC Group Services Control as well as APAC Risk Services.

• Oversee the quarterly Risk Control Assessment (RACA) process conducted by product line managers and review for quality assurance. 

• Provide clarity to product line managers on questions concerning compliance with RBS internal policies and procedures.

• Conduct ad hoc testing required from time to time regionally driven by APAC Group Services Control, Risk Services, or other as the case maybe.

• Attend weekly APAC Risk Services telephone conference calls and report any significant risk issues.

• Analyze root causes of operational errors and incidents and implement appropriate remediation measures. Write up incident reports if required for submission to the local Incident Monitoring Group

• Escalate risk issues as prescribed in APAC Global Nortifiable Event Procedure (GNEP) procedure.

(Control)

• Make initiatives and implement them to strengthen control in Operations area

• Review procedure manuals and continue to improve them through periodic reviews

• Make plans for staff training and check status of each department

• Monitor relevant product lines in Japan Branch Ops perform key controls such as nostro reconciliations, clearance of sundry accounts, etc.

• Ensure Anti-Social Organization (ASO) filtering application is run as per internal policy and procedures and report any hits to Compliance.

( Ops Management Support)

• Attend local Japan Branch Ops weekly managers meeting.

• Attend monthly Risk and Governance meetings: Local Risk Compliance Committee (RCC); Regional RCC, Regional Group Services Control; Incident Monitoring Group; Branch Operations Roundtable; and GTS/Ops/IT

• Prepare dashboard templates Japan Branch Operations for reporting purposes for various monthly meetings.

• Responsibility as BCP coordinator for Japan Branch Operations

Requirements: