Associate Director, Governance Risk Advisory Services (FS focused), Risk Consulting Associate Director, Governance Risk Advisory  …

KPMG
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
KPMG
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Associate Director, Governance Risk Advisory Services (FS focused), Risk Consulting
KPMG's Risk Consulting group strives to address clients' urgent strategic and operational challenges in today's complex regulatory environment. The practice focuses on key risk areas relating to strategic level, operational, financial and regulatory compliance.

We offer a richly varied professional experience with an exciting career path. You will have the opportunity to develop powerful insights into different aspects of a client's business, from strategy and operations to governance and compliance processes. We provide a multi-skilled, multidisciplinary work environment where no two assignments are exactly the same.

Responsibilities
  • Develop relationships at Chief Compliance Officer, Chief Risk officer, Product officer level with the aim to develop KPMG's share of the market
  • Lead opportunity pursuits; build and maintain internal and external relationships; act as a key member of client service teams and support marketing activities as needed
  • Act as an SME as it relates to matters of regulatory compliance, internal audit and internal controls in the Banking sector for financial institutions including private and retail banks, investment banks, securities companies and wealth managers in some of the following areas:
    - Sales suitability, including online investment distribution and complex products
    - License application: type 1, 4, 6, 9
    - Best execution
    - Pricing
    - FATCA/CRS
    - Conduct and culture
  • Advise clients on compliance transformation, improvement of second line of defense and those charged with governance
  • Map relevant regulatory requirements (e.g. HKMA SPM, SFC Code and Guidelines) to policies and identify gaps for improvement.
  • Deliver bi-party/tripartite HKMA and SFC compliance review and remediation projects - s59(2) and s(201)
  • Ability to navigate business requirements, supplement with regulatory requirement and translate to user requirements for emerging regulatory technology
  • Drafts policies, procedures and compliance programs, enabling clients to comply with applicable regulatory requirements
  • Work with a team of professionals to manage and deliver multiple large and complex high-quality consulting projects; help identify performance improvement opportunities for clients
  • Supervise and manage performance of the team working on assigned engagements.

Qualifications
  • 7 - 10 years consulting or relevant experience in financial services (Banking, Wealth Management, Securities Brokerage, etc.)
  • Ability to navigate MNC and Chinese banking clients understanding difference in culture and working style
  • Experience in leading business and opportunity development and pursuits
  • Creative thinking, strong analytical and problem-solving skills with high commitment to quality client service
  • Excellent communication and interpersonal skills
  • Distil and summarise findings for senior management, executive and board level meeting consumption
  • Strong team-building, mentoring and leadership capabilities
  • Strong presentation and report-writing skills with a good command of verbal and written English and Chinese (Mandarin)
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