HK - CPB - Supervisory Principal

Intermediate (3-6 years)

Technical Skills

  • Accountancy
  • Alternative Investments
  • Asset Allocation
  • Asset Management
  • Audit
  • Capital Markets
  • Compliance
  • iOS
  • Risk Management
  • Sales
  • Training

Job Description

HK - CPB - Supervisory Principal

Location: APAC-HKG-Hong Kong-Hong Kong

To assist the respective Investment Centre Head, the Supervisory Principal will be responsible for various supervisory duties as assigned, which will include:

  • Monitoring and approval of Investment Objective Setting (‘IOS’) forms for client accounts
  • Monitoring and oversight of account level risk versus Investment Objectives, Risk Tolerance and other suitability information through execution of the Daily Risk Management Review (‘DRMR’) process
  • Monitoring and review of Suitability Surveillance Cases, and similar surveillance reports generated in relation to investment transactions
  • Reviewing and approving certain alternative investments, higher risk or complex transactions either pre or post promotion
  • Performing regular account documentation/suitability reviews including cross border aspects (e.g., Offshore Wealth Services [OWS])
  • Conducting periodic reviews of Representatives, including but not limited to Training and Competency assessments
  • With support of Compliance, monitor continuing education and licensing requirements for Representatives
  • Managing and helping resolve all sales practice/investment related complaints
  • Periodically reviewing and affirming listing of representatives under supervision
  • Reviewing and approving certain correspondence and investment presentations
  • Performing periodic telephone and email surveillance reviews
  • Lead and support key projects to (1) enhance controls and respond to new regulations and/or Citi Policies, and (2) implement process enhancements, management and oversight of new or arising issues
  • Presenting findings and preparing materials for regular Governance and Control Forums


  • Minimum 5 years of experience in Private Banking, Asset Management, Capital Markets or Securities/Funds related field
  • Previous experience in performing a supervisory role is preferable
  • Proven experience of working in, or with, control functions such as: Compliance, Audit, Risk
  • Strong understanding of Code of Conduct of Business as well as understanding of relevant Regulations in Hong Kong
  • Ability to work well in a cooperative, high energy, matrix managed business
  • Ability to collaborate with and lead others to achieve objectives
  • Communicate effectively with senior management, build effective business relationships
  • Proven track record of delivery in a complex matrix environment
  • Flexible approach and willingness to be 'hands -on' as and when required
  • Good at brainstorming; can conceptualize new approaches quickly
  • Can communicate complex ideas simply and compellingly
  • Strong proficiency in English; ability to read Chinese is highly desired
Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelNon-specified
LanguageEnglish, Cantonese
CitibankFinancial Services, Retail and Commercial Banking

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

directions_walk12 mins walk from Admiralty Station