Senior Compliance Risk Officer

3 weeks ago

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

Citi is seeking a highly skilled Senior Compliance Risk Officer to join our team in Hong Kong. As a key member of our Compliance Independent Assessment team, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense.

Key Responsibilities
  • Develop, implement, and execute compliance testing, continuous testing, and reporting programs within an assigned region in accordance with the Compliance Independent Assessment Plan.
  • Participate in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CIA Plan.
  • Serve as a lead reviewer for complex reviews, analyzing report findings, and communicating findings to corresponding control/process owners.
  • Ensure the timely delivery of high-quality, value-added testing and audit reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi's respective regulators, globally.
  • Analyze and document report findings, and have preliminary discussions with corresponding control/process owners.
  • Utilize innovative compliance testing solutions, including Data Analytics, to increase value and reduce costs of compliance-related activities.
  • Develop effective relationships within CIA function and with other stakeholders, including Business process owners and Internal Audit function.
  • Identify industry best practices and share insights with the CIA teams on a regular basis.
  • Inform CIA management of significant compliance matters that require their attention or action.
  • Additional duties as assigned.
Requirements
  • 10+ years of experience in compliance, legal, or other control-related functions in the financial services industry.
  • Expertise in compliance laws, rules, regulations, risks, and typologies.
  • Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities.
  • Knowledge and extensive experience with auditing principles, including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities.
  • Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers.
  • Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services.
  • Strong interpersonal skills for building strong relationships with stakeholders and engaging teams.
  • Effectiveness in working within a large-scale and complex matrix organization is essential.
  • Effective negotiation skills, a proactive and no-surprises approach in communicating issues, and strength in sustaining independent views.
  • Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions.
  • Willingness to travel.
  • Must be a self-starter, flexible, innovative, and adaptive.
  • Highly motivated, strong attention to detail, team-oriented, organized.
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level.
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements, including local and US laws, international and industry standards.
  • Advanced knowledge in the area of focus.
  • Bachelor's/University degree, Master's degree preferred.

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