Alumni Pantry Talk | Evan Zhang (MAcc 2023): What is it like being a “risk detective” at a brokerage firm?
The office pantry is often where professionals can catch their breath amid the demands of the day. The CUHK Business School Alumni Office is delighted to launch a new series, “Alumni Pantry Talk”, inviting alumni to share candid glimpses into their professional lives. Regardless of your industry, take a coffee break with us and enjoy our “Alumni Pantry Talk”! As the third line of defence in an organisation’s risk management framework, internal audit functions much like a corporate risk detective. My role involves analysing the full scope of a brokerage firm’s operations, navigating across investment trading, risk management, sales, operations, finance, and IT infrastructure. With my professional training, I make informed, precise judgements to uncover potential risks. Immersed daily in vast volumes of operational data, I frequently write code to perform complex analyses and calculations. It often feels like solving a puzzle. What I find most rewarding is delving deep into data analysis techniques, drawing on a nuanced understanding of the business to unravel layers of information and pinpoint hidden risks with accuracy. There is a real sense of satisfaction when data, having been processed through intricate logic and code, reveals meaningful and actionable insights. In the world of finance, middle and back office teams are the unsung heroes behind the scenes — the “reliable teammates” who support the front lines. While client-facing teams forge ahead, we fortify the enterprise with robust risk controls and informed decisions at every checkpoint. In today’s climate of intensifying financial regulation, the compliance standards and risk governance capabilities of these internal functions are becoming essential pillars for sustainable corporate growth.
Interestingly, the first thing to crash under the pressure of heavy data analysis is not me — it’s my computer. During the course of my work, it is not uncommon for scripts to fail or for the system to freeze altogether. As a result, “Ctrl + S” has become second nature to me, and I have developed a healthy habit of frequent backups.