Compliance Officer for Global Financial Institutions
1 month ago
Citi, a leading global bank, is seeking an experienced Compliance Officer to join its team in Hong Kong. As a senior member of the Independent Compliance Risk Management (ICRM) department, you will be responsible for establishing and maintaining internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.
Job SummaryServes as a senior function/business/product compliance risk officer 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 protect the franchise.
Main Responsibilities:- Provide guidance and support to facilitate transactional conflict clearance process.
- Evaluate and review potential transactions to ensure all relevant information is reviewed.
- Analyze firm's touchpoints to determine potential conflicts of interest.
- Provide advice 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.
The ideal candidate will have expertise in Compliance laws, rules, regulations, risks, and typologies, with experience working in Capital Markets or other Investment Banking roles, preferably with experience on transactions and deal making. Experience working in a Control Group or Product Compliance function that covered Investment Banking transactions and/or Research is strongly preferred.
Additional requirements include:
- Extensive knowledge of FINRA Rules 2241 and 2242, Rules 138 and 139 safe harbours, Section 5 risks, The Global Research Settlement & The Jobs Act (EGCs).
- Demonstrated knowledge in Research Review, Global Research Settlement, and Capital Formation issues.
- Excellent written, verbal, and analytical skills.
- Must be a self-starter, flexible, innovative, and adaptive.
Citi offers a competitive salary range of HKD 750,000 - HKD 1,200,000 per annum, depending on experience, as well as a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off. Citi is an equal opportunity employer and welcomes applications from diverse candidates.
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