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HK – GF - AVP - Regional APAC Corporate and Investment Banking, Capital Market Origination and Research Independent Compliance Risk Management Compliance Officer
Location: APAC-HKG-Hong Kong-Hong Kong
Providing Compliance advisory support to Corporate & Investment Banking, Capital Markets Origination and Research businesses. Specific responsibilities include:
Providing general compliance and transactional advice.
- Responding to enquiries from regulators and clients.
- Significant involvement in Citi’s interpretation and application of new regulations.
- Developing, implementing and advising on policies and guidance to assist the business to understand and comply with their regulatory obligations.
- Work closely with business management to help develop practices and controls to address regulatory risks.
- Reviewing new products and other new business initiatives
- Developing and delivering training.
- Participating in internal investigations and disciplinary matters in relation to employee conduct.
- Assist in surveillance monitoring of communications and other business activity, and in developing Compliance Monitoring.
- Handling ad hoc policy and coverage issues.
- Engaging, coordinating and partnering with other control functions and regional compliance (i.e. Country/Product ICRM, the Control Group, Legal, Audit, Operations, etc.).
- Performing any other ad-hoc tasks assigned by the Head of APAC Corporate & Investment Banking, Capital Markets Origination and Research ICRM.
- University degree, preferably in Business, Finance, Law or similar disciplines
- Preferably with minimum of 5 years’ relevant financial industry experience, especially with a Hong Kong regulatory, legal or compliance background
- Knowledge of Hong Kong banking, securities and financial advisory laws and regulations preferred
- Analytically minded, and ability to work and make decisions under time pressure
- Strong interpersonal and communication skills
- Effective team player with the ability to proactively engage business and control function colleagues at all levels
|Career Level||Intermediate (3-6 years)|