Job description

The Markets Customer Protection and Market Practices Risk Management (CPaMP) team sits within Markets COO Non-Financial Risk Management.  The team acts as the 1st line of defence risk stripe owner for Client/Customer Protection and Market Practices risks, including market conduct risk.

This Senior Vice President (SVP) role will act as the Markets CPaMP lead for the Asia North/Asia South clusters and report into the global Head of CPaMP.  The role provides oversight over Customer/Client Protection and Market Practices risk profiles for Asia North/Asia South, including owning relevant governance/reporting activities and acting as a key conduit between global and regional teams.

Key responsibilities

The following are some of the specific activities expected of this role:

• Understand and assess risk profiles/drivers for Market Practices Risk (MPR) and Customer/Client Protection Risk (CCPR) across Asia North/Asia South
• Represent MPR/CCPR at relevant Asia North/Asia South business governance forums and other regional forums
• Own and deliver market conduct risk reporting to support effective Asia North/Asia South management oversight
• Partner with other 1st line of defence teams, ICRM and Internal Audit to identify/quantify MPR/CCPR control gaps and drive control environment improvements, with an Asia North/Asia South focus
• Lead Asia North/Asia South-specific control deliveries for MPR/CCPR and support the global CPaMP team in wider initiatives
• Provide MPR/CCPR advisory support for Asia North/Asia South initiatives
• Support Asia North/Asia South regulatory queries and examinations in relation to MPR/CCPR

Knowledge, Experience & Skills:

Knowledge

• In-depth understanding of conduct risk within the Markets business
• Strong knowledge of the enterprise risk management framework and its implementation within Markets
• Strong knowledge of APAC regulations and the wider regulatory landscape in relation to conduct risk
• Strong understanding of best practices within risk management, specifically conduct risk

Able to demonstrate experience of

• Partnering with senior management to support effective oversight of conduct risk
• Collaboration with front-to-back teams across both 1st and 2nd lines of defence to identify issues and deliver effective risk mitigation initiatives, especially within conduct risk
• Shaping and driving change initiatives within the Markets business
• Proactive engagement with testing/audit teams as well as regulators

Skills and Competencies

• Ability to provide oversight and challenge on risks and controls, taking into account business activity, size, scale and complexity
• Strong influencing, communication, and organisational skills, with the ability to build relationships with stakeholders at all levels
• Ability to develop effective solutions and implement change across geographies and functions

Qualifications

• 7+ years’ experience in risk & control roles, with a strong track record of leadership and delivery

------------------------------------------------------