Compliance Officer

2 weeks 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 AVP, Compliance Product Officer, APAC Control Group - Hybrid (Internal Job Title: Compliance Product Senior Analyst - C12) 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 function/business/product compliance risk senior analyst 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 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 and providing day-to-day Compliance advice relating to the supported function/business/product and
guidance on function/business/product rules/laws.

In this role, you're expected to:

  • Provide guidance and support to facilitate transactional conflict clearance process.

  • Communicate with Legal and Business Selection to ensure timely and accurate clearance of transactions.

  • Analyse firm's touchpoints to determine potential conflicts of interest.

  • Provide advice and maintaining the Firm's various information barriers, through policies and procedures reasonably designed

  • to prevent the misuse of material non-public information ("MNPI"), also known as non-public price-sensitive or 'inside information'.

  • Provide guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.

  • Identify, evaluate, and resolve issues related to the publication of Investment Research product. Respond to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.

  • Review and approve Research analysts' requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.

  • Chaperone and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.


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

  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product

  • Excellent written and verbal communication skills

  • 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

  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization

  • Excellent project management and organizational skills and capability to handle multiple projects at one time

  • Proficient in MS Office applications (Excel, Word, PowerPoint)

  • Knowledge in area of focus

  • Relevant certifications desirable

  • 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; experience in area of focus; Advanced degree a plus


Citi's Independent Compliance Risk Management Department provides compliance coverage for a wide range of financial products and
services spanning Citi's Asia Pacific business regions.
A leading provider of financial services and investment banking opportunities to financial institutions and corporate clients, governments and
retail banking clients and with a global presence spanning 100 countries and a legacy reaching back over 200 years, Citi is uniquely qualified
to provide services to clients with both local and cross border interests.
In particular, Citi Research produces research on securities and provides this research to institutional clients. The Conflicts & Information
Barrier Advisory Group reviews the research products before they are sent to clients to identify and address any problematic legal, regulatory
and reputational issues.
Additionally, Citi's Corporate Finance businesses throughout Asia Pacific undertake a variety of sensitive and confidential transactions. To
comply with relevant law and regulation, the Conflicts & Information Barrier Advisory group is responsible for identifying potential conflicts of
interest and following close analysis and discussion, taking action to avoid conflicting activities between the Firm's various businesses. The
team also provides advisory support in relation to regulatory requirements to business employees, including research analysts, investment
bankers and sales & trading staff.
The Conflicts & Information Barrier Advisory Group is a global team based in Sydney, Hong Kong, Mumbai, Belfast, New York and Tokyo.
The team works closely together, and also with other ICRM colleagues as well as with internal and external legal counsel across the regions, tracking legal and regulatory changes in order to keep conflict management systems and policies up to date.
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Job Family Group:
Compliance
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Job Family:
Product Compliance Risk Management
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Time Type:
Full time
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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

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