Position Summary:
We are seeking a senior risk management professional for an In-Business Risk (IBR) officer role supporting the Investor Services division in Japan and South Korea. Reporting to the Japan Services IBR Head, the ideal candidate will be a proactive and influential leader who can drive the risk and control agenda, foster a culture of transparency, and partner effectively with stakeholders across the franchise.
Ideal Candidate Profile & Key Responsibilities:
- Proactive Leadership and Ownership: Demonstrate a strong sense of ownership by leading the business toward its risk, control, and regulatory management goals. Drive local and regional initiatives to address challenges and continuously enhance the control framework.
- Collaboration and Transparency: Work effectively across silos to bring transparency to regulatory, compliance, and audit issues. Partner with second and third-line-of-defense functions and the cluster IBR management team to identify and apply best-in-class control standards.
- Stakeholder Influence: Confidently articulate risk and control positions to secure buy-in from multiple senior stakeholders. Build consensus and foster collaborative relationships to drive effective risk management outcomes.
- Integrity and Principled Escalation: Uphold the highest standards of ethical conduct and discipline. Possess the judgment to escalate critical issues in a timely and appropriate manner, ensuring proper visibility and resolution.
- Executive Communication: Clearly and concisely present complex risk and control matters in executive forums, such as the Business Risk, Compliance, and Control (BRCC) committee. Use this platform to align cross-functional partners and steer the organization toward decisions that protect and strengthen the local franchise.
- Learning Agility: While deep technical knowledge of Investor Services is not a prerequisite, a high degree of learning agility is critical. As a delegate for the Services IBR Head, the successful candidate must be able to quickly understand complex products, processes, and the evolving regulatory landscape to effectively fulfill the role's responsibilities for the Services business.
In this role, you’re expected to:
- Partner with the Custody Product team to drive risk and control initiatives, acting as a co-pilot to jointly own and manage business risks. Resolve any conflicts regarding issue and Corrective Action Plan (CAP) ownership.
- Collaborate with Investor Services Sales and Service teams to ensure smooth business relationships, acting as a partner to collectively manage client-related risks.
- Work closely with Operations and Technology to ensure the early detection, remediation, and prevention of issues originating from both Japan/South Korea and key overseas operations hubs.
- Collaborate with ICRM (Independent Compliance Risk Management) to ensure conformance with all applicable laws and regulations, seeking their expert advice and partnering on key initiatives.
- Serve as the central coordinator for internal and external audits. Guide and support various functions through regulatory examinations and other compliance-related matters.
- Promote a strong culture of ownership, accountability, and effective execution among peers and across the business.
This position also reports into Investor Services In-Business Risk Management JANA & AS Head, this critical role leads front-to--back proactive in-business risk management for Investor Services, specifically supporting Japan and Korea and its regulatory requirements. The ideal candidate will have a deep understanding of investor services operational risks in high-volume global financial services (custody, fund services, securities finance, clearing, settlement, fiduciary services), including front-to-back process risks. Expertise in securities/investment laws, compliance, technology, cybersecurity, data integrity, operational resilience, and core systems is essential.
As a successful candidate, you’d ideally have the following skills and exposure:
- A minimum of 10 years of experience in Controls, Regulatory Management, Operational Risk Management, Audit, Compliance, or a similar control-focused function.
- An understanding of Custody operations processes and their associated risks is preferred but not required.
- Ability to articulate policies and standards to Sales, Service, and Product teams, guiding their implementation in a prioritized manner.
- Serve as the primary liaison for the second and third lines of defense; responsible for seeking their advice, assessing feasibility, and implementing recommendations using a risk-based approach.
- Lead and present at business risk and control meetings, with the authority to assign ownership and ensure accountability.
- Experience with the front-to-back management of risks and issues within the Services business.
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Job Family Group:
Risk Management
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Job Family:
In-Business Risk
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Time Type:
Full time
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Most Relevant Skills
Analytical Thinking, Controls Lifecycle, Credible Challenge, Governance, Policy, Procedure, and Regulation, Risk Management Lifecycle.
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Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
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