Senior Compliance Risk Officer

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time
Unlock Your Potential with Citi

Citi is a global bank with a rich history of innovation and growth. We're committed to empowering our employees to reach their full potential and make a meaningful impact in the world. As a Senior Compliance Risk Officer, you'll play a critical role in ensuring that our business practices align with regulatory requirements and maintain the trust of our clients.

**Key Responsibilities:**

Develop and implement effective compliance risk management strategies to mitigate potential risks and ensure regulatory compliance.

Collaborate with cross-functional teams to design and deliver risk management frameworks that maintain risk levels within the firm's risk appetite.

Provide guidance and support to facilitate transactional conflict clearance processes and ensure that all relevant information is reviewed.

Analyze firm's touchpoints to determine potential conflicts of interest and provide advice on maintaining the Firm's various information barriers.

Identify, evaluate, and resolve issues related to the publication of Investment Research product and respond to questions from Research analysts and investment bankers.

Collaborate with other internal areas, including Legal, Business Management, Operations, Technology, Finance, and In-Business Risk, to address compliance issues that may impact the supported businesses.

Stay abreast of relevant changes to rules/regulations and other industry news, including regulatory findings, and implement policies, procedures, or other controls necessary to comply with the rules.

**Requirements:**

Expertise in Compliance laws, rules, regulations, risks, and typologies, with experience working in Capital Markets or other Investment Banking roles preferred.

Experience working in a Control Group or Product Compliance function that covered Investment Banking transactions and/or Research strongly preferred.

Strong analytical and problem-solving skills, with the ability to articulate complex problems and solutions through concise and clear messaging.

Excellent written, verbal, and interpersonal skills, with the ability to work collaboratively with regional and global partners in other functional units.

Ability to navigate a complex organization, influence and lead people across cultures at a senior level, and manage regulatory exams and relationships with examiners, auditors, etc.

Related certifications desirable, with a Bachelor's degree and experience in compliance, legal, or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm preferred.

Why Citi?

Citi is an equal opportunity and affirmative action employer. We're committed to creating a diverse and inclusive work environment that fosters growth, innovation, and collaboration. As a Senior Compliance Risk Officer, you'll have the opportunity to work with a talented team of professionals who share your passion for compliance and risk management. Join us and unlock your potential to make a meaningful impact in the world.

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