GF - Senior Compliance Officer, APAC Equities, Senior Vice President

1 day left

Recruiter
Citi
Location
Hong Kong
Salary
Competitive
Posted
14 Dec 2018
Closes
18 Dec 2018
Ref
5001076
Contract type
Permanent
Hours
Full time
  • Primary Location: Hong Kong SAR of PRC,Hong Kong,Hong Kong
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 10 % of the Time
  • Job ID: 18075847


Description

Key Activities:
Serves as a senior Equities business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing 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 function/business/product and customer needs in a manner consistent with the Citi program framework Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.
Key activities include:
  • Designing, developing, delivering and maintaining best-in-class Compliance programs, policies and practices for ICRM Translates ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs
  • Serving as a subject matter expert on Citi's Compliance programs Provides expert guidance on Equities business/product regulations on a real-time basis to manage compliance risk
  • Advising ICRM and Equities business/product management and personnel on regulatory and compliance issues and provide credible challenge
  • Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings
  • Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product
  • Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
  • Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
  • Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
  • Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
  • Designing and lead compliance and control reviews
  • Participating in industry groups and trade association working groups or other forums
  • Additional duties as assigned


Qualifications

Education:
  • Required: Bachelor's degree; experience in Equities 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; strong working knowledge of the Equities business and products and the related operations and regulatory and financial requirements
  • Preferred: CFA a plus
Knowledge and Skills:

Required:
  • Expertise of Compliance laws, rules, regulations, risks and typologies
  • Excellent written, verbal and analytical skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements including local and US laws, international and industry standard
  • Advanced knowledge in area of focus
  • Preferred: Knowledge of equities-related regulations, especially regulations of APAC markets
  • Other: Relevant experience desirable

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