Risk Control Officer

occupation

According to the requirements of Management Regulations Chief Risk Officer If the company is found to have major operational risks or potential risks, the company does not rectify the existing problems or the rectification does not meet the risk resolution requirements, and the company has illegal acts or major potential risks, it shall report to the person in charge of the company, the CSRC and its local offices respectively.

Futures companies Our chief risk officer is not directly involved in the company's decision-making and specific risk management operations, and has an independent reporting channel and full right to know.

Right to know: Chief Risk Officer Operation management In the process of inquiry and investigation of possible violations and potential risks, they can participate in or attend meetings related to their performance of duties as required; Check relevant documents of futures companies archives and data ； Related personnel of the futures company Futures companies provide audit , relevant personnel of intermediary service agencies such as law agencies have a talk; Understand the business implementation of the futures company and other functions and powers specified in the articles of association of the futures company.

Chinese name: Risk Control Officer
Foreign name: Risk control officer

Rights: right to know
Business direction: Securities, fund business, banking business, etc

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job content

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1. Be responsible for the inquiry and investigation of possible violations and potential risks in the operation and management of the futures company, and focus on whether the futures company is in accordance with laws, administrative regulations and relevant provisions;

2. Be responsible for the establishment and implementation of various systems of the futures company, including: establishment and implementation Customer margin Safe custody system, establishment and implementation of risk supervision index management system of futures companies, establishment of corporate governance and internal control system; Establish and implement the brokerage business rules, settlement business rules, customer risk management system and information security system of futures companies; Establish and implement the position reporting system for close relatives of employees of futures companies;

3. For futures companies that entrust other institutions to engage in intermediary business according to law Member level settlement system For futures companies with comprehensive settlement business qualification of the Exchange, the Chief Risk Officer shall also focus on checking various risk management systems related to this business, including: · checking whether there are illegal or out of scope entrustments, whether there are settlement business systems suitable for comprehensive settlement business and risk management systems suitable for business development, and effectively implementing them.

educational background

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Bachelor degree or above in finance related majors or bachelor degree or above.

Training experience

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1. Pass the qualification test recognized by the CSRC; 2. Have the qualification of futures and other related financial industry practitioners.

Business direction

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Risk control personnel (securities and fund business)

Position summary: Risk control personnel use effective institutional means to supervise the overall transaction operation of financial companies or institutions to avoid risks according to the requirements of relevant laws and regulations. General risk control personnel do not directly participate in trading activities, but their specific responsibilities will vary according to the nature of different institutions and companies. For example, the risk control officers of some securities advisory institutions can propose medium and long term trading opportunities and ideas, but have no right to issue operational instructions, and then the risk control personnel will record all trading plans and processes and submit them for discussion.

job content:

1. Be responsible for the operation of daily monitoring platform, and establish risk information database;

2. Be responsible for the regular assessment of risk limits and risk control of business and management departments;

3. Challenge and verify abnormal conditions and potential risks, and perform risk reporting functions to the Risk Control Committee and the management.

Risk control personnel (banking business)

Scope of work: develop the company's risk management objectives, systems and processes, establish professional risk management systems such as guarantee, assessment and asset management, and promote the comprehensive prevention and control of the company's internal and external risks, including: 1. build and improve the risk analysis and assessment system; 2. Build and improve the risk limit management system; 3. Control the investment risk according to the goal of risk limit management; 4. Track and monitor daily investment risks; 5. Conduct risk assessment on time, submit risk assessment report and ensure the quality of the report; 6. Analyze the impact of macroeconomic, microeconomic and market changes on investment risk; 7. Conduct risk assessment on major investment projects and new businesses, and submit assessment reports.

Risk control personnel (credit business direction)

Scope of work: 1. Responsible for credit line control; 2. Be responsible for making risk related statements; 3. Responsible for handling mortgage registration and other field work; 4. Other related work.

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