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Vice President, Compliance Surveillance
Location: APAC-HKG-Hong Kong-Hong Kong
Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)’s Trade Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
- Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
- Managing a specialized team of Compliance professionals responsible for program execution activities. Oversight for compensation, performance appraisals, staff development, training, etc.
- Supervising the analyst review team, daily workflow management and the overseeing the surveillance team. Overseeing all administrative duties related to the day to day operations of the department. Implementing process control functions to support updates to department procedures, global procedures and updates to Citi policies.
- Supporting team members within the APAC (including Japan) Markets Surveillance Team with product specific queries and problem solving.
- Responding to ad-hoc requests, special projects and regulatory exams.
- Ownership of and contribution to various high priority projects, working with hands on approach to ensure successful completion.
- Other responsibilities include: overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; interacting and working with other areas within Citi, as necessary; and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
- Representing APAC (including Japan) Compliance Surveillance globally working in close partnership with Technology, Compliance colleagues and the markets business to proactively assist with the innovation of new surveillance technologies.
- Ownership and presentation of markets and surveillance training adding value where possible to all teams within the wider APAC Surveillance group.
- Additional duties as assigned.
Education Level and/or relevant experience(s)
Required: Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; previous experience managing staff.
Preferred: Advanced degree (e.g. JD, MBA) a plus
Knowledge and Skills
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong written and verbal communication
- Ability to navigate a complex organization
- Advanced analytical skills
- Ability to both work independently and collaborate with team members
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge in area of focus
- Strong regulatory, product and transaction knowledge; more than a cursory knowledge of equities, fixed income, futures, commodities and or/FX markets beneficial.
- A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
- Excellent research and analytical skills in addition to a strong technical aptitude