Bank Of America Director Conduct Business Controls Officer 

China, Hong Kong, Hong Kong Island 

61419222

Job description:

Responsibilities include:

• Responsible for the manage of the Conduct Risk Forum and related conduct governance.
• Ensure that the firms Code of Conduct is embedded in region.
• Lead conduct risk assessments to identify areas of vulnerability, develop and implement corrective action plans.
• Design and deliver training programs on conduct standards to employees at all levels
• Supporting the management of the business in the strategic understanding and practical mitigation of their control risks and the evolution of the business’ risk culture
• Utilising the conduct metrics to drive initiatives in the lines of business
• Understanding and implementing the front office supervision and control arrangements
• Helping to drive control initiatives across Asia Pacific to ensure the business is effectively managing all its operational risks
• Understanding and helping assess root cause and mitigating controls for operational losses and errors and developing and improving routines to capture control metrics for reporting Key Risk Indicators (KRIs) and for developing the Risk & Control Self-Assessments of the business in the region
• Managing audit issue identification and remediation and handling Audit and Regulatory visits as the control face of the business
• Helping to ensure key business continuity processes are in place and effective
• Assisting in internal or regulatory investigations
• Working with Enterprise Control Functions (Operations, Legal and Compliance, Finance, Risk, IT, HR, Audit) to ensure end-to-end processes for all client and trade activity are controlled and conduct aligned
• Working with the Enterprise Control Function to update policies, procedures, and controls to reflect changes in regulatory rules, including Dodd-Frank and EMIR as well as local regulatory reforms as applicable.
• Working across the region with the Business Control and COO teams in each country to ensure that the controls framework is common and effective in each location and responding to local issues.
• Act as representative on formal mgmt. committees and governance forums including the MMC

Requirements:

Personal attributes:

• Understanding of the business essential and ideally some exposure to conduct issues and remediation of issues
• Exceptional communication/relationship skills.
• Comfortable having difficult conversations on challenging issues.
• Management skillset
• Extensive Market product knowledge and experience (10+ years in senior position)
• Strong background in infrastructure or support of the firm’s institutional products and processes, with specific Asia experience preferred.
• Good project/program management skills: ability to run complex, collaborative analytical projects.
• Strong academic background or equivalent
• Exceptional communication/relationship skills.
• Good presentation skills including development of presentation and related conduct

• Control Mindset:a commitment to ensuring that the business does the right thing
• Creative Thinking: the ability to generate new ideas and possibilities, and to see business opportunities – and risks – with a constructive perspective
• Commercial/Client Orientation: an underlying desire to help the business serve clients and a motivation to ensure that others’ needs are met
• Consulting Skills: an ability to provide added value, including innovative approaches and new or improved solutions
• Flexibility: the capacity to adapt approach in light of shifting priorities or changing conditions

• Personal Effectiveness:strong communication, decisiveness, energy, drive, courage and character. A thinker – and a doer
• Team Orientation / Teamwork / Collaboration:The willingness to work as a member of a broad team in a matrix organization.
• Excellent communication skills