Director- Operational Risk, Internal Audit & Compliance

We are looking for an experienced Director to lead our Operational Risk, Internal Audit, and Compliance functions. Reporting directly to the Head of Risk, this individual will be responsible for designing, implementing, and overseeing firm-wide processes to ensure effective internal controls, operational risk management, and regulatory compliance. The ideal candidate will bring a minimum of 12 years of relevant experience in financial services, with exceptional communication and leadership skills to drive accountability across our front-office, middle-office and back-office departments. Key Responsibilities: Operational Risk (50%) Internal Audit (30~40%) Compliance (10~20%) - Develop, implement, and maintain comprehensive internal control, audit,operational risk and compliance frameworks across all firm departments, including front office,middle office and back office. - Establish and monitor processes to safeguard the firm's operations, ensuring alignment with industry's best practices and regulatory requirements. - Conduct regular assessments of operational risks, internal controls, and compliance measures, identifying gaps and recommending actionable improvements. - Oversee the investment project approval process and fund transfer protocols, ensuring transparency, accuracy, and adherence to anti-fraud standards. - Collaborate with department heads to embed a culture of accountability and risk awareness throughout the organization. - Prepare and deliver clear, concise, and impactful reports and presentations to senior leadership on audit findings, compliance status, and risk mitigation strategies. - Stay abreast of evolving regulatory landscapes and industry trends to proactively adapt processes as needed. Must-Have Qualifications: - Minimum of 12 years of experience in operational risk management, internal audit, and/or compliance within financial services firms (e.g.,financial investment firms, or financial consulting firms). - Proven track record of designing and managing firm-wide control and compliance processes in a complex, multi-asset investment environment. - Strong understanding of investment project approval workflows, fund transfer operations, and anti-fraud measures - Exceptional verbal and written communication skills, with the ability to distill complex information into clear, actionable insights. - Outstanding presentation skills, with experience engaging senior stakeholders and driving consensus. - Ability to work independently, prioritize effectively, and lead cross-functional initiatives in a fast-paced environment. - Fluency in English is required. Proficiency in Mandarin is considered an asset. Nice-to-have: - Advanced degree or professional certification (e.g., CPA,CFA,CIA, or equivalent) is a plus but not required. - Buy side risk management experience is a plus. - Knowledge of financial operations, including back-office settlement or front-office trading, and/or finance functions. What We Offer: - Opportunity to make a significant impact within a growing risk management team. - Exposure to a broad range of asset classes and investment strategies. - Professional development and learning opportunities to enhance your career. Note: This posting is for an existing job vacancy. Some steps in the resume screening process may use AI-assisted tools to help identify qualified candidates. All applications will be reviewed fairly and in compliance with the Employment Standards Act (ESA).