FSO - Risk Consulting - Non Financial Risk (NFR) - Sr.Manager/Manager - HK

• Non-financial risk manager (regulatory compliance, enterprise risk and controls, financial crime compliance etc.)

• Undertaking risk management advice, remediation and transformation

• Conducting risk management framework design and operational effectiveness

• Regulatory and compliance consulting (including but not limited to financial crime compliance, such as know your customers, customer due diligences, screening and transaction monitoring activities related consulting services)

• Enterprise risk and controls consulting

• Professional risk support for consulting, internal and external audit services

• Future operating models, including the use of technology to streamline compliance controls

• Responding to regulatory criticism and regulatory preparedness

• Providing guidance on current and emerging control practices

• Advising clients on risk culture, conduct and accountability regimes and practices

• Conducting important proactive assessments and assurance around the effectiveness of controls and corporate processes, while also providing objective consulting support

• Undertaking risk management advice, remediation and transformation

• Providing strategic sourcing services related to regulatory compliance including financial crime compliance, corporate governance, enterprise risk management, internal controls and internal audit, to our clients in the financial services industry

• Assisting clients to maintain effective and efficient controls, to manage firm and strategic risks

• Providing advisory services to functional management and the Audit Committee on business risk profile and status or trends of related business internal controls

• Conducting internal audits and special reviews on complex or high risk sites, in multiple disciplines across the business

• Substantive matters of current and emerging HKMA, SFC, and global regulatory expectations regarding key banking compliance issues such as client onboarding, investor protection, licensing including cross-border compliance, suitability, sales practices, new product processes, product development and diligence, client money, KYC, customer due diligence, financial crime risk assessments, transaction monitoring, suspicious transaction reporting etc.

• Structure and function of banking, insurance and capital markets compliance roles and responsibilities and business models

• Use of technology and data including fintech and regtech innovation with respect to non-financial risk and compliance

• Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings

• Regulatory issue remediation

• Regulatory change management including planning and communication with regulators

• Supporting mock exam reviews, policy development and drafting assistance with relationship management between regulators and financial institutions

• Compliance framework - understanding of core compliance functions: risk assessment, policy management, testing, monitoring and surveillance and reporting etc.

• Supporting the revision or formulation of new policies and controls aligned with regulatory and compliance guidelines and requirements

• University degree in a relevant field such as business studies, financial, law, economics, commerce, etc

• A minimum of 5 years of relevant working experience with financial institutions or with regulatory bodies, such as the Securities & Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA), etc or relevant foreign bodies with other accounting or consulting firms

• Familiarity with financial services industry regulatory requirements

• Familiarity with the financial services businesses and operational workflows

• Familiarity with consulting methodologies and requirements is an advantage

• Working experience in internal audit, compliance or risk department is highly preferred

• Strong planning and organizational skills

• Strong presentation skills

• Proficiency in the use of PowerPoint, Word and Excel

• Excellent command of spoken and written English, fluency in Chinese written and spoken is an advantage

• Relevant professional qualifications, including Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), Chartered Financial Analyst (CFA), are an advantage

• Support, coaching and feedback from some of the most engaging colleagues around
• A variety of roles and client experiences - you will have the opportunity to work on multiple client projects solving complex problems across financial services
• Opportunities to develop new skills and progress your career
• The freedom and flexibility to handle your role in a way that's right for you

EY