Monitoring and Testing-North Asia and Investment Banking Lead

Job Title: Monitoring and Testing-North Asia and Investment Banking Lead
Contract Type: Permanent
Location: Hong Kong
Reference: 156539
Contact Name: Aishwarya Ranade
Contact Email: aishwarya.ranade@credit-suisse.com
Job Published: August 07, 2020 18:35

Job Description

Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.


We Offer


We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global Conduct and Ethics Standards

The Compliance Review Group plays a pivotal role in safeguarding the Banks operations from regulatory risk. It is a team of c35 professionals based through APAC. We seek an outstanding individual to take on a monitoring and testing lead focused predominantly on the Investment Banking businesses, and oversight of monitoring and testing activities across Northern Asia, role is based in Hong Kong, and the team consists of experienced professionals responsible for the execution of monitoring and testing across compliance risks in Asia Pacific. The role will report to the APAC Head of Governance, Controls and Testing.

Specifically, the role is required to:

  • Understand various APAC rules and regulations and their impact on monitoring and testing activities across the Investment Bank businesses; further, demonstrate sound awareness of risks, industry developments, and best methods. Be a sounding board and leader in the sharing of relevant knowledge across the team
  • Build and maintain positive relationships with key business partners across both the 1st and 2nd line
  • Develop a monitoring and testing plan with reference to key compliance risks, prescribed methodology and Management views
  • Lead monitoring and testing reviews across compliance risks faced by the Investment Banking businesses
  • Challenge and oversee the monitoring and testing plans across Compliance owned risks for Northern Asia jurisdictions (e.g., China, HK, Korea, Taiwan).
  • Demonstrate risk awareness in order to ensure appropriate monitoring or testing is designed and then performed
  • Seek to identify issues impacting risks under review, presenting sustainable and commercial control improvements to mitigate risks, and agreeing these with business partners
  • Communicate with impact the testing results and conclusions, including drafting concise reports for review by Management, transparently presenting conclusions with relevant partners
  • Understand the fundamentals of risk and control, and mentor team members in developing their understanding
  • Manage the career of a small team of junior staff in developing and progressing their careers. 


You Offer
  • Understand the value of diversity in the workplace and are dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
  • Phenomenal written and verbal communication, management, analytical and problem solving skills in order to meet the demands of a regional team and function, and growing regulatory scrutiny.
  • Bachelor’s Degree required
  • At least 12+ years of proven experience working within a Risk and Control, Compliance or Internal Audit function acquiring knowledge on risk, control and various testing techniques;
  • Strong understanding of Financial Services and in particular Investment Banking products and relevant risks;
  • Language skills relevant for coverage across Greater China
  • An attitude to challenge the status quo
  • Ability to multi-task competing priorities and can work under pressure while maintaining a high degree of accuracy and attention to detail
  • Awareness of regional rules and regulations as well as applicable international standards; and
  • Prior working experience in regulatory body would be an advantage

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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