Business Compliance & Risk Control Manager

A leading financial institution in Bangkok is seeking a Business Compliance and Risk Control Manager to join their team. This is an exceptional opportunity for you to play a pivotal role in shaping the compliance and risk control framework within a highly respected organisation, renowned for its commitment to excellence and supportive leadership.

A distinguished financial institution is seeking to appoint a Business Compliance and Risk Control Manager within its Global Markets division, based in Bangkok, Thailand. This esteemed position affords you the privilege of engaging at the forefront of operational risk management, serving as a trusted advisor to trading and sales teams. You will be entrusted with fortifying the first line of defence by embedding rigorous risk controls and compliance frameworks within a sophisticated business environment. The organisation places high value on your commercial discernment, pragmatic approach, and capacity to anticipate, evaluate, and mitigate risks with diligence. Should you aspire to a role where your expertise will exert a tangible influence on business outcomes whilst nurturing a culture of collegiality and perpetual enhancement, this represents an exceptional opportunity for meaningful professional contribution.

• Assume the principal role as operational risk partner for Global Markets, working in close concert with front-office trading and sales teams to uphold exemplary standards of risk management.
• Avail yourself of the opportunity to architect and implement robust control frameworks that are meticulously aligned with regulatory mandates whilst facilitating business advancement.
• Benefit from an environment that is unwaveringly supportive, offering abundant opportunities for professional development, knowledge exchange, and tailored training initiatives designed to foster your career progression.

What you'll do:

In the capacity of Business Compliance and Risk Control Manager, you will be immersed in the first line daily operations of the Global Markets team. Your remit will encompass close cooperation with trading desks to ensure that effective risk controls are seamlessly integrated throughout each phase of the trade lifecycle. You will be responsible for developing insightful dashboards that inform strategic decision-making while ensuring all activities remain compliant with prevailing regulatory standards. By leading incident reviews and driving thorough root cause analysis, you will contribute significantly to strengthening the organisation’s control environment. Your expertise will be indispensable in coordinating audits, supporting regulatory reviews, and facilitating the introduction of new initiatives aimed at enhancing operational resilience. Success in this appointment requires you to harmonise governance imperatives with business facilitation—providing judicious guidance that empowers teams whilst safeguarding organisational interests. Your dedication to fostering open communication and knowledge sharing will play a pivotal role in cultivating a dependable culture of compliance throughout the enterprise.

• Engage directly with front-office trading teams as the foremost operational risk representative for Global Markets, ensuring all undertakings are conducted within established parameters of prudence.
• Devise, produce, and maintain comprehensive dashboards and compliance reports that afford transparent oversight into trading activities and operational exposures.
• Oversee independent reviews of operational incidents by conducting meticulous root cause analyses and proposing enduring enhancements to existing controls.
• Conduct periodic Risk & Control Self-Assessments (RCSA), thematic reviews, and gap analyses to appraise the efficacy of internal controls across the business unit.
• Develop, refine, and document control frameworks, procedures, and operating manuals in strict accordance with evolving regulatory expectations.
• Coordinate both internal and external audits as well as regulatory examinations, diligently tracking remediation efforts through to their successful conclusion.
• Support the implementation of new internal control initiatives by performing sample testing and reviewing control effectiveness to ensure sustained compliance.
• Provide timely advisory support to front-office teams on matters pertaining to risk management, control processes, and compliance within Global Markets.
• Collaborate with stakeholders across functions to cultivate a culture characterised by transparency, accountability, and continuous improvement in operational risk practices.

What you bring:

For this Business Compliance and Risk Control Manager appointment, your established record in operational risk management within financial markets will distinguish you as an ideal candidate. You offer not only technical proficiency but also refined interpersonal skills that facilitate harmonious collaboration among varied stakeholders. Your analytical prowess enables you to distil complex data into cogent recommendations for action. Experience managing audits, conducting self-assessments, and implementing control frameworks ensures you are equipped to address both routine responsibilities and unforeseen challenges with composure. Your familiarity with regional regulations provides valuable insight into how local nuances intersect with global operations. Above all else, your commitment to nurturing trust-based relationships underpins an inclusive environment where all colleagues are empowered to contribute meaningfully towards collective objectives.

• Possession of a bachelor’s degree or higher qualification evidencing your academic grounding in disciplines such as finance or risk management.
• A minimum of 10 years’ experience in Operational Risk, Business Risk & Control, or first line of defence roles within Global Markets, Treasury or Trading environments.
• Comprehensive understanding of end-to-end trade lifecycle processes, market products, and associated operational risk exposures acquired through substantive involvement.
• Demonstrated proficiency in conducting incident analysis, leading RCSA exercises, performing control testing, and coordinating audit activities with precision.
• Commercial acumen enabling you to balance rigorous governance requirements with practical strategies for business enablement.
• Advanced analytical abilities supported by adeptness in MS Office applications and data analysis tools for generating actionable insights.
• Familiarity with regulatory requirements and market dynamics pertinent to Singapore or local ASEAN markets would be highly advantageous.
• Exemplary interpersonal skills allowing you to collaborate effectively across diverse teams whilst providing empathetic advisory support on complex matters.
• A proactive orientation towards continuous improvement in operational processes through knowledge sharing and collaborative problem-solving.

What sets this company apart:

This organisation distinguishes itself as a paragon within financial services by steadfastly prioritising both client outcomes and employee wellbeing. Renowned for its excellence across global markets operations, it offers an inclusive workplace where collaboration is esteemed at every echelon. Employees enjoy flexible working opportunities designed to promote work-life balance alongside generous pension contributions that secure long-term peace of mind. The company invests substantially in ongoing training opportunities so you may continually expand your skillset whilst advancing your professional aspirations. Supportive leadership fosters an atmosphere where knowledge sharing is actively encouraged—ensuring all have access to resources requisite for personal growth. By joining this esteemed team, you become part of a network committed not solely to commercial success but also individual fulfilment within a respectful community.

What's next:

Should you wish to assume an influential role wherein your expertise shapes the future landscape of operational risk management within Global Markets, we warmly invite your application.

Apply today by clicking on the link provided—your next distinguished career step awaits!

Due to the high volume of applications, our team will only be in touch if your application is shortlisted.

Robert Walters Recruitment (Thailand) Limited
Recruitment License No.: น. 1188 / 2551