Director, Equities Independent Compliance Risk Management Asia

4 months 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
------------------------------------------------------

Job Family Group:
Compliance and Control
------------------------------------------------------

Job Family:
Product Compliance Risk Management
------------------------------------------------------

Time Type:
Full time
------------------------------------------------------

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .

View the " EEO is the Law " poster. View the EEO is the Law Supplement .

View the EEO Policy Statement .

View the Pay Transparency Posting

  • Compliance Risk Management Director, Equities

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Job OverviewCiti's Independent Compliance Risk Management (ICRM) is responsible for managing compliance risk and promoting behavior that is consistent with Citi's mission. We're seeking a high-caliber professional to join our team as Director, Equities Independent Compliance Risk Management Asia - Hybrid based in Hong Kong. In this role, you'll be...

  • Director, Equity

    2 months ago

    Hong Kong, Hong Kong SAR China Société Générale Assurances Full time

    Director, Equity & Equity Derivatives Compliance, Asia Pacific Compliance Permanent contract Hong Kong, Hong Kong Reference 24000K20 Start date Immediately Publication date 2024/09/09 Responsibilities Reports to: APAC Regional Head of Global Markets Compliance Job Description To support in advising and overseeing the Equities & Equity...

  • Compliance Risk Officer for Equities and Asia Cash

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Job OverviewCiti is a global bank with a commitment to supporting the growth and development of its employees. We are seeking a highly skilled Compliance Risk Officer to join our team in Hong Kong.Job SummaryThe Compliance Risk Officer will be responsible for assisting in the design, development, delivery, and maintenance of best-in-class compliance...

  • Senior Compliance Risk Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Citi is a global bank uniquely positioned to navigate the complexities of an increasingly interconnected world. With a vast global network and on-the-ground expertise, we connect the dots, anticipate change, and empathize with the needs of our clients and customers.Job DescriptionThe Director, Equities Independent Compliance Risk Management Asia role is a...

  • Executive Director, Risk Management Compliance

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    Job Description We are seeking a skilled Compliance Specialist to join our team at Société Générale Assurances. As an Executive Director, Risk Management Compliance, you will play a crucial role in advising and overseeing the Equities & Equity Derivatives business with respect to their management of regulatory and reputational risk. Key...

  • Senior Compliance Risk Management Specialist, Equities Asia

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Citi's Independent Compliance Risk Management (ICRM) is a crucial control function that ensures compliance with laws and regulations. We are seeking a highly motivated and experienced professional to join our team as Senior Compliance Risk Management Specialist, Equities Asia. This role requires a strong working knowledge of financial institutions and...

  • Executive Director of Private Equity Investments for Furst Asia Limited

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Furst Asia Limited Full time

    Furst Asia Limited, a non-China focus Private Equity firm with an AUM of 400 million Euro, is seeking an Executive Director of Private Equity Investments. Reporting to the Chairman.Key responsibilities include deal structuring, execution, exit, talent recruiting & training for junior staffExecute primary fund investments in growth, buyout, distressed and...

  • Director, Investment Risk, Asia Investment Management

    6 months ago

    Hong Kong, Hong Kong SAR China Sun Life Full time

    Job Description : Director , Investment Risk , Enterprise Asset Management Location: Hong Kong Working within the Risk and Compliance, Enterprise Asset Management Team, this position plays a key role in providing oversight and challenge of investment risk practices and initiatives across the General Account and Segregated Account assets of Sun...

  • Compliance Manager for Asset Management

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China BNP Paribas Asset Management Full time

    Key ResponsibilitiesTo represent the Compliance function in the company's HK Management Committee and other business and operational committees. Conduct a Monthly Compliance Committee, ensuring that HK management and Board of Directors are kept fully informed of compliance matters. Escalation of material compliance concerns or issues to the Head of...

  • Compliance Risk Manager Asia Pacific

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    The Compliance Risk Manager Asia Pacific role is a critical position that requires an individual with extensive experience in financial services, internal audit/control testing, and compliance. This role will be responsible for managing the 2nd Level Control framework in Asia Pacific, ensuring that risks are identified and managed in a timely manner.Key...

  • Compliance Manager for Asset Management

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China BNP Paribas Asset Management Full time

    Role OverviewThe Compliance Manager will be responsible for ensuring that BNP Paribas Asset Management Asia Limited is in full compliance with applicable Hong Kong regulatory requirements and BNPP Group Compliance standards.This includes providing proactive compliance advice to the business, rolling out Group Compliance policies and standards, implementing...

  • Product Risk Management Director

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Manulife Full time

    **About the Opportunity**We are seeking a highly experienced Product Risk Management Director to join our team in Asia. This is an exciting opportunity for a seasoned professional to leverage their expertise in product and pricing to drive business growth while ensuring risk management.The ideal candidate will have at least 10 years of experience in the life...

  • Director / Senior Director, Asia Product Risk Management

    7 months ago

    Hong Kong, Hong Kong SAR China Company 331 - Manulife Financial Asia Limited Full time

    Description The Opportunity The customer is the focus of everything we do, and millions of end users rely on our products and services daily. We believe in the value of empowering our with the resources to enhance and achieve our business performance objectives for the future of our business, which is why we need you.  The position assists the...

  • Director of Risk Management and Compliance

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Financial Group Full time

    Dah Sing Financial Group is seeking an experienced professional to fill the position of Director of Risk Management and Compliance. This role is responsible for ensuring that all operation processes are fully compliant with regulations and standards set by the Bank and regulatory bodies.About the JobThe successful candidate will be responsible for providing...

  • Director / Senior Director, Asia Product Risk Management

    7 months ago

    Hong Kong, Hong Kong SAR China Manulife Full time

    Job Description The Opportunity The customer is the focus of everything we do, and millions of end users rely on our products and services daily. We believe in the value of empowering our Directors/Senior Directors, Asia Product Risk Management with the resources to enhance and achieve our business performance objectives for the future of our...

  • Senior Equities Compliance Specialist

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Job DescriptionHARBRIDGE PARTNERS seeks an experienced Senior Equities Compliance Specialist to join our team in Hong Kong.About the RoleThis is a senior leadership position that requires a deep understanding of equities compliance and regulatory requirements across Asia Pacific. As a key member of our compliance team, you will be responsible for providing...

  • Senior Compliance Risk Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pinpoint Asia Full time

    Job Title: Senior Compliance Risk ManagerAbout the Role:We are seeking an experienced Senior Compliance Risk Manager to lead and manage regional legal, compliance, and risk projects from initiation to completion. The successful candidate will ensure timelines, budgets, and quality standards are met.Key Responsibilities:Project Leadership: Lead regional...

  • Asset Management

    2 months ago

    Hong Kong, Hong Kong SAR China BNP Paribas Asset Management Full time

    ROLE DESCRIPTION AND PURPOSE As the appointed Manager in Charge for Compliance, to ensure that BNP Paribas Asset Management Asia Limited is in full compliance with applicable Hong Kong regulatory requirements as well as BNPP Group Compliance standards. This includes providing proactive compliance advice to the business, the roll-out of Group Compliance...

  • Global Equities – Electronic Client Solutions – Vice President/ Executive Director

    6 months ago

    Hong Kong, Hong Kong SAR China JPMorgan Chase & Co. Full time

    The team, based in Hong Kong, is currently seeking to hire a versatile individual with data analytics skills and experience in cash equities trading including familiarity with algorithmic execution & smart order routing solutions, Asia Pacific markets & microstructure.  As a Vice President/ Executive Director in the Asia Pacific Equities product team, you...

  • Risk Management Director Equities Asia

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Company OverviewCiti is a leading global bank that operates in an increasingly complex world. Companies today are either born global or are expanding globally at an unprecedented pace. Business and geopolitics are forging a new dynamic, and consumers expect seamless financial services as part of their digital lives.Salary and BenefitsThe estimated annual...