- Capital Markets
- Microsoft Excel
- Microsoft Powerpoint
- Microsoft Word
- Project Management
- Risk Management
Vice President, Regional CIB, CMO and Research Compliance Officer
Location: APAC-HKG-Hong Kong-Hong Kong
- Serves as a Asia Pacific Corporate & Investment Banking (CIB), Capital Markets Origination (CMO) and Research compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the Asia Pacific CIB, CMO and Research businesses and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures.
- The role which is based in Hong Kong, will report to the Asia Pacific Head of CIB, CMO and Research ICRM based in Hong Kong.
Key activities include:
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
- Providing real time business-specific guidance and expertise
- Engaging in first-line led governance and oversight
- Providing subject matter expertise on investigations and disciplinary matters related to compliance matters
- Liaising between first line and ICRM programs
- Providing guidance on rules and regulations relating to CIB, CMO and Research operational issues, as well as, provide approvals and interpretation of internal compliance policies.
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product. Supporting thefunction/business/product in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supported function/business/product.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned.
- 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; strong working knowledge of function/business/product supported and the related operations and financial requirements
- Preferred: MBA or JD a plus and exposure to Control Room or Product Compliance roles within a financial services firm a plus.
- 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 and interpersonal skills
- Ability to both work collaboratively and independently; 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
- Chinese language skills preferred but not necessary.
- Other related certifications desirable