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Compliance Officer

1 week ago

Hong Kong, Central and Western District, 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
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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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