VP, Product Compliance Officer, Wealth

6 days ago

Hong Kong, Hong Kong SAR China Citi Full time
Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism.

Shape your Career with Citi

Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.

We're currently looking for a high caliber professional to join our team as VP, Product Compliance Officer, Wealth - Hybrid (Internal Job Title: Compliance Product Officer - C13) 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:

Position summary:

Serves as a Wealth Market Product 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 other ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the business/product 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 business/product and guidance on business/product rules/laws and interpretation on internal policies and procedures

Key responsibilities:
  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Providing guidance on rules and regulations relating to Consumer and Citi Private Bank ("Wealth") Market business/products which include Equity, Fixed Income, Structured Product and Derivatives, as well as provide transactional/product reviews 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 the function/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.
  • Additional duties as assigned
  • 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.


Qualifications:
  • Knowledge of Hong Kong and Singapore Compliance laws, rules, regulations, risks, preferably of Consumer banking

  • 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

  • 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

  • Demonstrated knowledge in area of focus

  • 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

  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.


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

  • VP, Compliance Product Officer

    6 days ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • Leo Wealth | Junior Wealth Associate

    5 days ago

    hong kong, Hong Kong SAR China Leo Wealth Full time

    Welcome to Leo Wealth, a wealth management firm providing comprehensive services and individual guidance on tax preparation, estate planning, investments, and insurance. With offices in Asia and the United States, our diverse team of over 50 professionals delivers personalized solutions to clients at every stage of life and wealth. We are 100% independent,...

  • Chief Compliance Risk Officer

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Fargo Wealth Group Limited Full time

    Job DescriptionFargo Wealth Group Limited is seeking an experienced Chief Compliance Risk Officer to join our team.Key ResponsibilitiesLead the development and maintenance of compliance policies and procedures to meet regulatory requirements, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support.Develop and implement a risk...

  • VP, Equities Compliance Officer

    6 days ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • VP, AML Compliance Risk Management Officer

    6 days ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Job Description Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job...

  • Compliance Risk Management Officer

    4 days ago

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

    Role OverviewCiti's Global Legal Affairs and Compliance (GLAC) department is seeking a highly skilled professional to join our team as VP, AML Compliance Risk Management Officer - Hybrid in Hong Kong.

  • Compliance Risk Officer for Product Compliance

    5 days ago

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

    Overview:Citi, a global bank with a rich history, offers opportunities for career growth and development. Our team is committed to empowering employees and making a positive impact in the community.Job Description:We are seeking a high-caliber professional to join our team as a Compliance Risk Officer for Product Compliance. As a key member of our team, you...

  • Compliance Officer

    6 days ago

    Hong Kong, Hong Kong SAR China CICC Full time

    Job Description Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the “Firm”) for its Equities, FICC and Wealth Management business activities conducted from Hong Kong, with a focus on the sales and trading business activities across products....

  • Wealth Planning Specialist

    6 days ago

    Hong Kong, Hong Kong SAR China CITIC CLSA Full time

    Position Description We are looking for an insurance product specialist (Wealth Planning) to strengthen our product distribution business; and promote regular product programme with comfortable starting size to increase product penetration. The role is to manage the end-to-end product cycle and relationship building with clients and stakeholders. Key Areas...

  • Wealth Management Associate with Portfolio Analysis and Compliance Expertise

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Group, Inc. Full time

    Job DescriptionRole Summary:As a Wealth Management Professional at Goldman Sachs Group, Inc., your primary responsibility will be to serve as the liaison for clients regarding inquiries and provide team support. You will also analyze and monitor client portfolios, assist with other aspects of managing client relationships, drive and complete compliance...

  • VP - Asset Management - Private Wealth Sales, Greater China - Hong Kong

    6 days ago

    Hong Kong, Hong Kong SAR China Brookfield Asset Management, Inc Full time

    Location Hong Kong - 8 Finance Street, Two IFC, 57/F, Suites 5712-13 Business - Brookfield Oaktree Wealth Solutions Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield acquired a majority interest in Oaktree Capital, a...

  • VP, Private Side Compliance

    6 days ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx & SFC) on-site exams and...

  • VP, Market Risk

    6 days ago

    Hong Kong, Hong Kong SAR China Charterhouse Partnership Hong Kong Full time

    Our client, a leading financial institution - is looking for a VP, Market Risk for their firm. Key Responsibilities Oversee risk management tasks, including but not limited to Value at Risk (VaR), Profit & Loss (P&L) analysis, and position calculations. Manage market and liquidity risk for all treasury-related activities, ensuring effective monitoring of...

  • Financial Services Officer

    23 hours ago

    hong kong, Hong Kong SAR China HSBC Full time

    Some careers have more impact than others. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Wealth and...

  • Regulatory Compliance Officer

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Futu Securities International (Hong Kong) Limited Full time

    About UsFutu Securities International (Hong Kong) Limited is a reputable financial institution dedicated to providing top-notch services.Job DescriptionCompany OverviewWe are committed to excellence in the securities brokerage and wealth management industry.ResponsibilitiesSupport licensing operations and provide expert advice on regulatory matters.Offer...

  • VP, Private Market Compliance

    6 days ago

    Hong Kong, Hong Kong SAR China Larson Maddox Full time

    CLIENT BACKGROUND We are looking for an experienced and knowledgeable IBD Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team and report to the Head of Compliance to work closely with the business team on...

  • Wealth Planner

    6 days ago

    Hong Kong, Hong Kong SAR China Selby Jennings Full time

    Key Responsibilities Deliver comprehensive wealth planning solutions, utilizing insurance and trust products, to high net worth individuals and corporate clients for estate planning, succession planning, and asset protection. Serve as a subject matter expert on wealth planning and insurance/trust products, assisting both prospective and existing clients....

  • Assistant Compliance Manager

    6 days ago

    Hong Kong, Hong Kong SAR China Fargo Wealth Group Limited Full time

    Job Responsibilities: 1. Assist in managing compliance and trading risk control for the Group's licensed entities, while taking the lead in certain daily operations. 2. Develop and maintain compliance policies to meet regulatory requirements, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support. 3. Deliver compliance training to...

  • Relationships and Wealth Development Manager

    15 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hang Seng Bank Limited Full time

    About Hang Seng Bank LimitedWe are committed to service excellence, focusing on personal wealth management and financial services through our one-stop wealth management initiatives. Our goal is to provide best-in-class products and services to over half of the adult population in Hong Kong.Job SummaryWe seek a high-caliber professional to manage...

  • VP, Asset Management Compliance

    6 days ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    The Company Our client is one of the leading asset managers in Hong Kong and Asia Pacific, with strong compliance culture in place, provide excellent work-life balance and career prospect. They are currently looking for an experienced, knowledgeable and driven compliance professional to become part of Regional Compliance Compliance Team. The Role As a part...