Chi Cooc
Hong Kong
Summary
Governance and control professional with 15+ years of experience in Operational Risk Framework, Internal Controls, and Middle Office/Trade Support. Expertise in front to back flow and global markets products enables and to effectively identify and address control deficiencies and operational risk gaps. Proficient in key risk identifications and root cause analysis, regulatory compliance, audit issue remediation, quality assurance, and control testing. Skilled in stakeholder management and proven ability to partner and collaborate across functions. Positive risk culture carrier and promoter
Overview
18
18
years of professional experience
Work History
VP- Head of AeJ Control & Oversight, Finance Dept
Nomura International Hong Kong
05.2015 - Current
- Lead and manage complete control and oversight agenda across Finance division of 140+ staff, advising internal stakeholders on governance and operational risk and control framework, including executing firm-wide policies
- Chair control and governance forums ( i.e. Transaction controls, Product Controls, Treasury Supervision, 3rd party onboarding and payment process) and provide challenges and escalations, identify key issues and emerging risk and actions to mitigate.
- Lead general ledger balance assurance testing, ensuring control deficiencies are addressed and balance sheet risk is reduced; promote adherence to process and policies
- Implemented banks new operational risk and control framework across Finance, reducing the number of RCSA and improving risk and identification process
- Global lead on control and governance workstream for 3rd party vendor outsourcing project.
- Developed on-demand KRI metrics and monitoring dashboard, increasing real-time risk visibility and reducing report generation time
- Facilitated continuous control awareness training sessions, highlight lessons learnt through newsletter and in person sessions
Vice President- Operations Risk and Control (Regulatory Reporting)
Nomura International Hong Kong
03.2015 - 11.2016
- Created and implemented comprehensive regulatory reporting risk assessment and framework; identified key regulatory changes, and developed control guidelines and best practices
- Conducted independent inspections of regulatory reports, identifying and closing critical gaps
- Partnered with Compliance and Legal to assess impact of regulatory changes, ensuring full compliance to regulations
- Facilitated awareness of new regulations through newsletter and in-person session
Director - Equity Swap Trade Support
Morgan Stanley
02.2010 - 09.2013
- Led 6-person team managing high impact and fast paced end-to-end trade lifecycle processes covering Asia Delta One Structured trading
- Implemented front-to-back straight-through processing and auto trade matching and allocations solution, leading to increased controls and efficiencies, and reduced manual touchpoints.
- Integrated onshore and offshore trade support functional responsibilities, optimizing headcount savings by 50%, enhancing efficiencies and collaborations, and creating a single point of team contact for the business
- Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
Manager- Equities Derivatives Middle Office/Transaction Management Group
Royal Bank of Scotland Global Banking and Markets
03.2007 - 02.2010
- Led team of 4 supporting equities and fixed income trading desk; ensured proper execution, confirmation, booking, and settlement of firm-wide trades on complete, accurate, and time basis
- Delivered operational improvements and streamlined process workflow, including testing of new processes and product rollout
Education
Masters of Business Administration -
University of Iowa, Tippie College of Business
Bachelor of Science in Business Administration -
California State University, Sacramento
Skills
- Operational Risk Assessment/Management
- Process Improvement
- Regulatory Compliance
- Data Protection and Privacy
- KRI Reporting and Analysis
- Internal Control/Audit Remediation
- Business Resilience Planning
- Vendor Outsourcing Management
- Quality Assurance/Control Testing
- Stakeholder Management
Pursuing
ECF- ORM Certificate
Languageskills
Native in English and Cantonese, knowledge of Putonghua
Hobbies and Interests
CSR initiatives, Finance lead on Diversity, Equity and Inclusion (DEI), Health and Fitness, Reading
Timeline
VP- Head of AeJ Control & Oversight, Finance Dept
Nomura International Hong Kong
05.2015 - Current
Vice President- Operations Risk and Control (Regulatory Reporting)
Nomura International Hong Kong
03.2015 - 11.2016
Director - Equity Swap Trade Support
Morgan Stanley
02.2010 - 09.2013
Manager- Equities Derivatives Middle Office/Transaction Management Group
Royal Bank of Scotland Global Banking and Markets
03.2007 - 02.2010
Masters of Business Administration -
University of Iowa, Tippie College of Business
Bachelor of Science in Business Administration -
California State University, Sacramento
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