Vice President - Business Analysis APAC MIS Technology (BB-AD928)
Found in: Neuvoo HK
Vice President - Business Analysis APAC MIS Technology
About this Role:
This position is responsible for ensuring compliance with the Securities & Futures Commission's (SFC) circular on use of External Electronic Data Storage Providers (EDSP). This person would need to have knowledge and expertise to access Regulatory Records kept with an EDSP at any time, and can ensure that Regulator has effective access to such records upon demand without undue delay in the exercise of its statutory powers. Further, this role will include performing the role of Manager in Charge (MIC) for IT in HK. This role will also include coverage of other compliance requirements in the APAC region. This person must reside in HK. The candidate will also be expected to take on a Senior Management role as a Business Analyst for other risk management and compliance requirements in the region as well as support the APAC Regional Management team on risk, IT and data related initiatives.
- MIC establish procedures and controls to ensure that he/she or delegate can discharge all responsibilities under the Circular in full compliance with MIS HK’s internal data security policies or restrictions and any other laws or regulations which apply. MIC is responsible for ensuring information security to prevent unauthorised access, tampering or destruction of Regulatory Records. MIC ensure that relevant records are secured, auditable and always retrievable even when relying on a third party.
- MICs or delegate must provide all necessary assistance to the SFC to secure and promptly gain access to all of the Regulatory Records of MIS HK kept at the EDSP, and put in place all necessary policies, procedures and internal controls to ensure that the SFC has full access to all Regulatory Records upon demand without undue delay.
- EDSP MIC will sign and execute the MIC/RO Undertaking on behalf of MIS HK and ensure MIS HK is able to comply with the undertaking to the SFC before using any new premises outside Hong Kong.
- Work with stakeholders on framework to identify use of EDSPs (exclusive or non-exclusive) and data centres used by affiliates to ensure EDSP Circular, FAQ and Section 130 on Records Keeping Premises are complied with.
- Establish Enhanced Access Map and EDSP register and update with any changes as soon as practicable to ensure the documents is accurate, current and available for the SFC’s review within two business days upon request.
- Work with Compliance to seek SFC approval under section 130 of the SFO for the premises of use of exclusive EDSP, data centres or other premises used by affiliates or the EDSPs engaged by such affiliate for the keeping of electronic Regulatory Records.
- Work with Compliance to notify the SFC immediately if MIC is unable to comply with terms of the MIC/RO Undertaking after providing the Undertaking to the SFC and immediately provide a new MIC/RO Undertaking to the satisfaction of the SFC.
- Act as the Manager-in-Charge, primarily responsible for managing one of MIS HK’s core function (e.g. MIC – Information Technology). MIC – Information Technology is responsible for the design, development, operation and maintenance of computer systems for MIS HK (this would encompass all aspects of Information Security, IT Operations and Infrastructure)
- The MIC must have sufficient authority to make decisions (e.g. assume business risks within pre-set parameters or limits), have authority to allocate resources or incur expenditures in connection with the department carrying on the core function and hold seniority to exert influence in the conduct of his/her responsible core function and report either directly to the Board or the MIC-OMO.
- The candidate will also be expected to take on role for a Core Management Function role under the new MAS Individual Accountability and Conduct regime to be implemented by September 2021
- Support APAC country managers in risk related initiatives, including the remediation of Internal Audit identified issues that require change management and process / workflow redesign
- Participate in Design Center initiatives related to IT and data
- College degree in Computer Science, Business or Engineering.
- Extensive experience in a highly digital environment
- Significant previous experience working in a regulated industry
- Significance experience working directly with regulators, compliance and risk functions establishing controls, processes and policies
- 10+ years experience in Business Analysis capturing requirements
- Demonstrated ability to work closely with executive teams, compliance teams and Operations teams
- Demonstrated ability to understand cybersecurity frameworks
- Crisp and effective communication skills
- Demonstrated ability to build and develop durable relationships across all functions within an organization
MIS Technology Business Office and Delivery Team
Moody's Investors Service (MIS)
Line of Business
Job Sub Category
Data Governance & Global Operations
Working at Moody's
Moody's (NYSE: MCO) is a global integrated risk assessment firm that empowers organizations to make better decisions. Our data, analytical solutions and insights help decision-makers identify opportunities and manage the risks of doing business with others. We believe that greater transparency, more informed decisions, and fair access to information open the door to shared progress. With over 11,000 employees in more than 40 countries, Moody's combines international presence with local expertise and over a century of experience in financial markets. Learn more at moodys.com .
Moody’s Investors Service is among the world’s most respected and widely utilized sources for credit ratings and research. Our opinions and analysis on a broad range of credit obligors and obligations are valued around the world for their insight and rigor.
MIS Culture of Excellence
At MIS, our workplace culture supports our mission to be the Agency of Choice for our customers, employees and future employees. Our Culture focuses on Excellence and embodies behavioral qualities such as Integrity, Responsiveness, Collaboration, Respect and Passion. Our people are our core asset and we look beyond outcomes to ensure that behaviors and interactions matter.
Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.
Securities Trading Policy (STP)
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.
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