VP, Equities Compliance 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 Compliance Risk Officer to join our Equities team in Hong Kong. As a key member of our team, you will be 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.

Key Responsibilities
  • Assist in the design, development, delivery, and maintenance of best-in-class Compliance programs, policies, and practices for Independent Compliance Risk Management (ICRM), especially on Asia Cash Equities.
  • Provide guidance on rules and regulations relating to function/business/product issues, as well as provide transactional approvals and interpretation of internal compliance policies.
  • Assist with regulatory inquiries and/or examinations, including coordination with regulators and other parties.
  • Collaborate with other internal areas, including Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues that may impact the supported function/business/product.
  • Support the function/business/product in performing timely compliance reviews of new products.
  • Assist in the development and administration of Compliance training for the supported function/business/product.
  • Research new reform rules and rule changes and implement policies, procedures, or other controls necessary to comply with the rules.
Requirements
  • Knowledge of Compliance laws, rules, regulations, risks, and typologies.
  • Self-starter, flexible, innovative, and adaptive.
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
  • 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; Advanced degree preferred.
  • Strong written and verbal communication and interpersonal skills.
  • Ability to both work collaboratively and independently; ability to navigate a complex organization.
  • Advanced analytical skills.
  • 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.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).
  • Demonstrated knowledge in area of focus.
  • Relevant certifications desirable.
About Citi

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.

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