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Director, Equities Independent Compliance Risk Management Asia

1 week ago

Hong Kong, Hong Kong SAR China Citi Full time
W e live in an increasingly complex world. Companies these days are either born global or are going global at record speed. Business and geopolitics are forging an entirely new dynamic and consumers now expect financial services to be a seamless part of their digital lives. Citi is a bank that's uniquely positioned for this moment. Through our vast global network and our on-the-ground expertise, we can connect the dots, anticipate change and empathize the needs of our clients and customers in ways that other banks simply cannot.

Shape your Career with Citi

Citi's Independent Compliance Risk Management (ICRM) is an independent control function that provides guidance and challenge to the firm, managing compliance risk and promoting behavior that is consistent with Citi's mission.

We're currently looking for a high caliber professional to join our team as Director, Equities Independent Compliance Risk Management Asia - Hybrid (Internal Job Title: Compl Product Sr Officer II - C15) based in Hong Kong. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:

  • Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.

  • We empower our employees to manage their financial well-being and help them plan for the future.

  • Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.


In this role, you're expected to:

  • Take senior responsibilities for providing compliance advisory and establishing internal policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with other Compliance teams and stakeholders, in order to partner to develop and apply CRM program solutions that meet function/business/product and customer needs in a manner consistent with the Citi program framework.

  • Playing key role providing compliance coverage to Business and support function stakeholders, including providing compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities;

  • Taking lead in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies; provides direction and guidance on the programs.

  • Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.

  • Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.

  • Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. 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 assigned function/business/product.

  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

  • Supporting the function/business/product in performing timely compliance reviews of new transactions and/or products

  • Managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts;

  • Assisting in the development and administration of Compliance training for the assigned function/business/product.

  • Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the function/business/product.

  • Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned function/business/product, including cross-border impact.

  • Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.

  • Mentoring and guiding junior staff members.

  • Participating in industry groups and trade association working groups or other forums;

  • Additional duties as assigned.


As a successful candidate, you'd ideally have the following skills and exposure:

  • Bachelor's degree

  • Strong working knowledge of the business/product and related laws and regulations

  • Solid experience with financial institutions in compliance

  • Highly motivated, strong attention to detail, team oriented, organized

  • Excellent written, verbal and analytical skills

  • Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

  • Ability to interact and communicate effectively with senior leaders

  • Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls

  • Experience in the design and implementation of Compliance programs

  • Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders

  • Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business/Function

  • Experience with and previous exposure to internal or external control functions and regulators

  • Ability to challenge Business/Function management and escalate issues when appropriate

  • Strong track record of effectively assessing and managing competing priorities

  • Comfortable navigating complex, highly-matrixed organizations

  • Comfortable acting as an agent for positive change with agility and flexibility

  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential


Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community and make a real impact.

Take the next step in your career, apply for this role at Citi today

https://jobs.citi.com/dei
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Job Family Group:
Compliance and Control
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Job Family:
Product Compliance Risk Management
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Time Type:
Full time
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