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GF - APAC Head of Equities ICRM Job Specifications



Technical Skills

  • Compliance
  • Economics
  • Equities
  • Futures
  • Negotiation
  • Team Management
  • Training

Job Description

GF - APAC Head of Equities ICRM Job Specifications

Location: APAC-HKG-Hong Kong-Hong Kong

APAC Head of Equities ICRM
Position Objective:
  • To act in a leadership role as the APAC Head of Equities ICRM for Citi’s APAC Markets and Securities Services to ensure APAC Equities and MAG
  • Comply with all relevant regulatory requirements and industry best practice
  • Develop, implement and co–ordinate Citi global and domestic policies
  • Attain Citi’s highest ethical standards in all respects
  • Maintain its reputation as a firm of the highest integrity within the financial services
Key Responsibilities:
  • Develop close working relationships with the business to engender a culture of compliance within the business
  • Foster awareness of ethical standards and a culture of compliance;
  • Develop and maintain a comprehensive and integrated Compliance program covering APAC Equities and MAG
  • Ensure appropriate policies and procedures are in place to support an effective Compliance program
  • Make recommendations for innovation in the execution of compliance responsibilities
  • Review and comment on the impact of changes in the law/rules and on the likely impact of future changes
  • Ensure and enhance effective surveillance and monitoring in respect of all business units
  • Ensure awareness of all rules and laws through training, communication and active advice
  • Participate in management discussions on key issues
  • Maintain strong links with Regulators and industry groups
  • Provide active advice to the business units on compliance related matters
  • Ensure effecting reporting to senior business and compliance management of compliance issues and concerns, though escalation of serious issues and ongoing routine reporting;
  • Maintain active dialogue with Citi compliance personnel regionally and globally
  • Lead, guide and support country Equities ICRM team supporting the business units
  • Review and make recommendations regarding the on resourcing needs of the ICRM team
  • Ensure co-ordinated and effective interaction with the Legal team 
Key Business Relationships
(Internal and external areas/bodies/agencies/providers the position will interact with)
  • General Counsel and Legal staff
  • Business Heads
  • Business Unit Managers
  • Senior Offshore Compliance personnel
  • SFC
  • HKEX
  • HKMA


  • At least 15-year experience in a legal/compliance/regulatory/controls or equivalent role.
  • Experience in Equities Compliance role with detailed knowledge of investment banking products, processes and regulatory requirements.
  • Technical/Specialist skills/competencies
  • Job-related knowledge, policies, procedures, techniques etc
  • In depth knowledge of the Securities and Futuers Ordinance
  • In depth knowledge of Citi policies, procedures and standards
  • In depth knowledge of Compliance standards and theories
  • Personal Attributes/Interpersonal skills
  • (People skills in customer relations, influencing, leading and developing others etc)
  • Ability to lead and manage a team of Compliance professionals
  • Identify strategic goals and manage achievement of objectives
  • Strong verbal and written communication skills
  • Demonstrated negotiating and persuasive abilities
  • Ability to deal with senior management
  • Demonstrated analytical and issues management skills
  • Demonstrated ability to work closely and co operatively with the business and other support departments
  • Strong planning and organisation skills
  • Ability to execute multiple projects at the same time
  • Ability to work under pressure 
  • Bachelor of Commerce/Economics (or related financial degree); and/ or
  • Bachelor of Laws (desirable) 
  •  Business/Industry knowledge/competencies
  • (Understanding of business concepts, context, knowledge of the industry/market/organisation etc)

  • Knowledge of financial markets transactions
  • Knowledge of financial services regulatory environment across APAC
  • Knowledge of Equities products
  • Superior knowledge of Investment Banking industry
Employment TypeFull-time
Education LevelNon-specified
CitibankFinancial Services, Retail and Commercial Banking

50/F, Champion Tower 3 Garden Road Central, Hong Kong

directions_walk12 mins walk from Admiralty Station