David K Ng

About David K Ng

Experienced Vice President with a demonstrated history of working in the financial…

Experience

1. Vice President Operational Risk Management-wealth Management

   Deutsche Bank

   Jun 2015 — Present

   Operational Risk Management Vice President Responsible for building out the 1 st LoD operational risk management framework, and serve as risk advisor to support the 1 st LoD and partner with the 2 nd and 3 rd line LoD. Support Operations, Finance, Treasury, Risk Management and the Sales Coverage teams. Develop and perform controls testing on various Americas Wealth Management business lines, such as Lending, Deposits, Custody, Trust and US onshore, including the LATAM region; identifying control gaps and deficiencies and implementing respective controls Manage and contribute to the overall governance success of the Wealth Management Risk function in the United States ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure a framework for Wealth Management activities to be conducted in compliance with applicable regulations, and bank wide policies and procedures Partner with Business lines to monitor and identify ongoing risks to create comprehensive risk identification (Risk ID) and assessment (Risk Control Assessment) for Wealth Management Americas Serve as public ambassador by leveraging stellar relationship building and communication skills to influence and gain consensus to raise organizational profile throughout Wealth Management. Trusted advisor and colleague with business management and various stakeholders, fortify and foster partnerships and manage expectations with infrastructure and control partners Compliance, Legal, Audit Act as the designated final approver for all new products, conducting new product due diligence to ensure key operational risks have been properly considered and mitigated with formal processes, policies/procedures, training, personnel, systems, and vendor due diligence Review, challenge, and approve all errors, fraud events, including performing Lessons Learned on material events and share across other regions as necessary

Skills

• Auditing
• Finance
• Management
• Risk Management
• IT Audit
• Sarbanes-Oxley Act
• Business Analysis
• Financial Modeling
• Financial Reporting
• Enterprise Risk Management
• Financial Risk
• Internal Controls
• Internal Audit
• Financial Analysis
• Accounting