Risk Assurance & Reporting, First Line of Defense

Intermediate (3-6 years)

Technical Skills

  • Audit
  • Internal Audit
  • Project Management
  • Risk Assessment
  • Risk Management

Job Description

Risk Assurance & Reporting, First Line of Defense

Location: Hong Kong

Job ID:
Hong Kong
Business Area:
Private Banking and Wealth Management
Risk Assurance & Reporting, First Line of Defense Credit Suisse Company Overview

Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients—and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let's shape the future of Credit Suisse together.

We Offer...

1. Policy and procedures
  • Ongoing checks/monitoring and follow up on critical policy, process and control items
  • Identify and review of policies and procedures to address gaps, if any
2. MICOS Support
  • Generate exception reports for performance of supervisory controls (e.g. MICOS)
  • First level preparation on MICOS controls for Market Leader review & sign off
3. Conduct regular control monitoring and thematic reviews such as:
  • Investment Suitability / Risk Disclosure
  • Investor Protection
  • Vulnerable Clients
  • Deposit Protection Scheme
  • Others: Manual Statements, Off Premises Trading, etc.
4. Assist in coordinating internal audit related tasks, including preparing, reviewing, ongoing monitoring for Greater China and Emerging Asia (Philippines and Japan International)/ HK Branch Management
  • Audit Liaison & support
  • Provide management with regular audit status updates
  • Track and monitor implementation audit items and escalate overdue actions if any
  • Obtain appropriate management consent to update status in the MICOS system
5. Manage operational incidents rectification and support investigation
6. Contribute to the streamlining of workflow and operations in the Risk Assurance and Reporting team by exploring areas of improvement and offering propositions

7. Manage and support Ad hoc projects/ initiatives as assigned by PB Hong Kong COO



<p hidden>efc-ags1</p> 

You Offer...

  • Minimum 5-8 years of relevant working experience in financial institution
  • Background in private banking risk management, controls or internal audit and knowledge of regulations in the APAC region is preferred
  • Knowledge of APAC private banking risks environment and relevant controls would be an advantage
  • Good analytical skills and sound process review/risk assessment skills with an understanding of risks and impacts in a banking environment
  • Good time / project management skill is a must
  • Able to handle complexity and time constraints as well as work under pressure
  • Able to work independently with minimal supervision
  • A winning personality and a good team player with a can-do attitude
  • Ability to communicate effectively and actively across a range of individual and groups
  • Independent judgment with strong analytical and risk assessment skills.
  • A wide degree of creativity and latitude    

EEO Statement

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

Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelNon-specified
Credit SuisseInvestment Banking and Brokerage

One Austin Road West, Kowloon, Hong Kong

directions_walk22 mins walk from Austin MTR Station