citi.com | AVP, Central Compliance Officer

1 week ago

hong kong, Hong Kong SAR China citi.com Full time

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, Central Compliance Officer - Hybrid (Internal Job Title: Compliance Risk Management 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 decisions and manage your financial well-being to help plan for your future.

Position summary:

Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for establishing 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 protects 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 business and customer needs in a manner consistent with the Citi program framework.

In this role, you’re expected to:

  • Part of Central Compliance team to support Hong Kong level programs, governance, and various global functions, including Finance, Treasury, HR, etc.
  • Participate in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM.
  • Analyze comparative data and prepare reports related to compliance risk assessments, and monitoring of compliance related issues.
  • Review materials to ensure compliance with various regulatory and legal requirements. Identify and address potential risks.
  • Investigate and assist in responses to compliance risk issues. Investigate regulatory inquiries, prepare required documentation, make recommendations to senior management on how to proceed, and prepare responses for the regulatory inquiries.
  • Monitor adherence to Citi’s Compliance Risk Policies and relevant procedures.
  • Prepare, edit and maintain Compliance program related materials.
  • Interact and work with other areas within Citi, as necessary.
  • Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
  • Additional duties as assigned.
  • Have the ability to operate with a limited level of direct supervision.
  • Exercise independence of judgement and autonomy.
  • Act as SME to senior stakeholders and/or other team members.
  • 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.

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

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • 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
  • 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 preferred
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