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Risk Control Group (RCG) Analyst

Hong Kong
Job Type
8 Sep 2022

The Risk Control Group (RCG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for Fixed Income, Commodities, Bank Resource Management and Institutional Equity. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls and policies. RCG members are part of the S&T Non-Market Risk structure.

The RCG team fulfills a front office advisory role as the first line of defense. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners. RCG is looking for an analyst to support projects and day-to-day tasks as applicable.

Key Roles and Responsibilities
  • Servicing the Sales and traders to apply the risk control framework.
  • Reviewing surveillance reports/system and following escalation procedures.
  • Review of system entitlements and analyzing appropriate access.
  • Providing local support and oversight of outsourced processes and ensuring data accuracy for population management.
  • Manage escalations on Non-Market Abuse (NMA) trade surveillance.
  • Ability to build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
  • Promote risk education and awareness and provide management summaries as appropriate
  • Engaging with Sales and Trading contacts and other stakeholders to build awareness of RCG's continued focus on proactive and effective surveillance and supervision.
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  • Job Reference: 707120582-2
  • Date Posted: 8 September 2022
  • Recruiter: Morgan Stanley
  • Location: Hong Kong
  • Salary: On Application
  • Sector: Banking & Financial Services
  • Job Type: Permanent