Submit CV

Risk Manager

If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

00330191

PROFILE:

Seasoned risk management and compliance professional with over 15 years of experience in investment, operation, enterprise risk management (ERM), regulatory compliance, and financial risk assessment from first line and second line of defense. Proven ability to implement risk frameworks, conduct risk assessments, and develop risk appetite statements in line with FCA, PRA, Basel, COSO, and Lloyd’s Oversight Principles. Expertise in ORSA report, RSCA implementation, Solvency II analysis, S166 review, risk register maintenance, operational resilience, and internal audits. Strong analytical skills with proficiency in Python, Tableau, Bloomberg, Risk Metrics, GRC system, and regulatory compliance tools. Adept at collaborating with cross-functional teams and influencing stakeholders at all levels.

SKILLS:

  • Operational Risk Management: RCSA, risk register maintenance, ORSA, SFCR, root-cause analysis
  • Regulatory Compliance & Governance: FCA, PRA, Basel, COSO, CSRC, AMAC, SAC
  • Risk Analysis & Reporting: Risk MI, Solvency II, Key Risk Indicators (KRIs), risk appetite
  • Enterprise Risk Management (ERM): Risk frameworks, internal audit, second-line risk challenge
  • Operational Resilience & Incident Management: Business continuity planning, stress testing
  • Technology & Data Analysis: Python, Tableau, Bloomberg, Risk Metrics, Data Driver, Imagine
  • Software: Leadership & Stakeholder Engagement: Cross-functional collaboration, training, and mentoring

TECHNICAL:

  • Software: Microsoft Office, Leapsome, X-Mind, Tableau, Risk Metrics, Bloomberg
  • Risk & Compliance Systems: GRC, Data Driver, Imagine Software, Barra, Kingdom, Hundsun, Sunguard, XQuant

EDUCATION:

April 2024 - April 2027: School of Business

Doctor of Business Administration in Finance (Part-time)

August 2007 - August 2008: University

MBA in Financial Market & Risk Management

September 2003 - July 2007: University

BBA in Management

CAREER HISTORY:

May 2022 - February 2024

Insurance

Risk Manager

  • Assisted CRO in managing investment and operational risk frameworks, ensuring compliance with FCA & PRA regulations.
  • Conducted Risk & Control Self-Assessments (RCSA) and formulated risk control reports for committees.
  • Participated in Solvency II analysis, S166 review, ORSA reports, risk appetite framework, and incident management.
  • Provided second-line challenge, supporting risk governance and agenda at the Risk Management & Compliance Committee (RMCC), Audit & Risk Committee (ARC), and Group Management Team (GMT).
  • Acted as the key liaison with the Group’s Risk Management & Compliance department.

January 2022 - March 2022

Asset Management

Head of Supervision and Audit Department

  • Led compliance, legal affairs, and internal audit functions, aligning with CSRC & AMAC regulations.
  • Developed supervision proposals, audit plans, and risk assessment strategies to enhance risk controls.
  • Conducted internal self-inspections and regulatory reporting to ensure compliance.

September 2017 - December 2021

Financial Services

Assistant General Manager, Asset Custody Department

  • Managed a team of 15 and oversaw 20 billion RMB in assets across 100+ investment portfolios.
  • Led investment supervision and risk assessment, reviewing 6,000+ daily investment risk control terms.
  • Monitored compliance with regulatory bodies (CSRC, AMAC, SAC) to mitigate financial and custody risks.

July 2016 - September 2017

Fund Management

Assistant Director, Financial Engineering Department

  • Managed a team of 7 and oversaw 150+ billion RMB in global investment portfolios.
  • Reviewed 750+ daily risk reports and ensured portfolio compliance with laws & agreements.
  • Senior Manager, Supervision & Audit Department (Oct 2014 - Jun 2016)
  • Conducted internal audits, risk assessments, and regulatory reporting in compliance with CSRC & AMAC.

August 2010 - October 2014

Financial Services

Investment Risk Control Manager

  • Developed risk management policies, monitored investment risks, and conducted quantitative risk analysis.
  • Implemented risk warning systems and assessed risks for new products and strategies.

QUALIFICATIONS:

  • Certified Financial Risk Manager (FRM)
  • CFA Level II Candidate
  • Wharton School Executive Development Program (EDP) Certificate
  • Canadian Securities Institute Executive Wealth Management (EWM) Certificate

PUBLICATIONS & THOUGHT LEADERSHIP:

  • "How to Effectively Identify and Prevent Risks" – Published in Journal of University of Finance and Economics Risk Management Forum (June 2019)
  • "Guidance for Risk Controllers" – Published in Journal of Insurance Risk Observation (Dec 2019)

LANGUAGES:

  • English (Fluent) | Cantonese (Fluent) | Chinese (Native)

References Available Upon Request

If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

To view other CV's please click here.

Back to top