Head of Risk Culture, Conduct & Ethics- Group Risk Management (Enterprise Risk Management) Head of Risk Culture, Conduct & Ethics- Group Risk  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 07 May 21
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 07 May 21
Head of Risk Culture, Conduct & Ethics- Group Risk Management (Enterprise Risk Management)
The Head of Risk Culture & Ethicss its within the Group Risk Management (GRM) division reporting to the Group Head of Enterprise Risk Management. Working across the organisation this roleis responsible for designing, implementing, coordinating and operating acomprehensive Risk Culture, Conduct and Ethics program across the Group'sbusiness lines and locations. The Head of Risk Culture , Conduct and Ethics will work closely with the Group's Legal, Regulatory Compliance, HR and Communications functions to champion and embed the firms core values and ethical principles including its mandate under the Securities and Futures Ordinance (SFO), as an Exchange Controller, to 'act in the interest ofthe public, having particular regard to the interest of the investing public.'

Job Responsibilities:
  • Define the Group's risk culture, including its drivers and attributes,and determine target settings in line with Group Risk Appetite
  • Working across the business, identify learning needs across all riskdomains and design targeted risk awareness and education materials;
  • Work with SMEs / functional heads to produce required content in eachrisk domain;
  • Lead the development and delivery of the Group's risk culture roadmap,awareness program and related initiatives;
  • Review the various forums across the group and management levels toensure appropriate focus on risk management topics;
  • Develop subsidiary focused risk awareness and ethics programs to ensurea tailored approach to local and operations specific requirements;
  • Lead the Group's conduct committee ensuring appropriate staff behaviours and leading indicators are implemented across the business;
  • Review and enhance existing incentivisation and disciplinary processes underpinning risk culture and ethical behaviour across the Group;
  • Ensure the Group's ethical behaviours and principles are adequately reflected in the operations and decisions of the business including meeting regulatory requirements (such as the (SFO);
  • Working with the HR and Corporate Communications functions, drive aculture of integrity, diversity, excellence, collaboration and engagement inline with the Group's core values;
  • Work with the regulators as required to escalate and collaborate on risk related market facing educational issues to ensure the fairness and orderlinessof the market place is maintained;
  • Contribute to the design of tests or drills to validate / measure theeffectiveness of risk awareness and ethics related initiatives across the Group ;
  • Benchmark the risk culture activities of the Group against other global market places and peers to ensure the Group's practices reflect the goldstandard within industry; and
  • Develop insightful reporting to management and the Board on risk cultureand conduct activities.
Job Requirements:
  • At least 10 years of relevant working experience in risk management and/or relevant risk training roles;
  • Experience in end-to-end requirements definition, design, build andoperation of Risk Culture, Conduct and Ethics programs;
  • Extensive knowledge of related tooling to create "best in class"solutions including some exposure to behavioural analytics solutions preferred;
  • Experience in deploying risk cultural enhancements within a matrix organisation;
  • Ability to interact with operational teams and to promote the risk function;
  • Able to coordinate with management team and implement HKEX policies within area of responsibility;
  • Experience of working in financial services (or preferably exchange industry);
  • Excellent analytical, planning and organizational skills;
  • Strong decision making and good problem-solving skills;
  • Excellent verbal and written communication and interpersonal skills;
  • Self-starter, highly motivated and must be team oriented with the ability to work in a fast paced environment with a strong delivery focus;
  • Excellent project management and meticulous attention to details; and
  • Good command of written and spoken English is essential and Chinese (Mandarin) is preferred.
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
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