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 team in Hong Kong. As a key member of our Compliance team, you will be responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.

Key Responsibilities
  • Design, develop, deliver, and maintain 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 which 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.

  • Strategic Equity Trader, VP-D

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Green Lake Executive Search Co. Limited Full time

    Job DescriptionGreen Lake Executive Search Co. Limited seeks an experienced Strategic Equity Trader, VP-D to join our team.Responsibilities:Develop, propose, and manage a portfolio of opportunistic investment strategies in equities, adhering to general risk guidelines to generate returns.Build and optimize trading infrastructure to enhance strategy...

  • VP, Equities Compliance Officer

    4 weeks ago

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

    Job Summary: Citi is seeking a highly skilled and experienced Compliance Risk Officer to join our team in Hong Kong. As a Compliance Risk Officer, 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...

  • Business Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Deutsche Bank Full time

    Join Our Team as a Business Manager - Equity Financing VPWe are seeking a highly skilled Business Manager to join our Equity Financing team as a VP. As a key member of our team, you will be responsible for leading the Business Management support function for the Equity Financing APAC business, supporting 3 traders in the region.Your Key...

  • Equities Trader

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Green Lake Executive Search Co. Limited Full time

    Job Title: Trader (Opportunistic and Facilitation Equities), VP-DAt Green Lake Executive Search Co. Limited, we are seeking a highly skilled and experienced Trader (Opportunistic and Facilitation Equities), VP-D to join our team.Key Responsibilities:Develop and propose portfolio of opportunistic investment strategies in equities to generate returns within...

  • Executive Vice President

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Green Lake Executive Search Co. Limited Full time

    Job Title: Trader (Opportunistic and Facilitation Equities), VP-DGreen Lake Executive Search Co. Limited is seeking a skilled and experienced Trader (Opportunistic and Facilitation Equities), VP-D to join our team.Key Responsibilities:Develop and propose opportunistic investment strategies in equities to generate returns while adhering to general risk...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China JH Partners Asia Company Limited Full time

    Compliance VP Job DescriptionJH Partners Asia Company Limited is seeking a seasoned Compliance VP to lead our compliance efforts.Key Responsibilities:Evaluate organizational policies and procedures to ensure alignment with regulatory requirements and industry standards.Conduct comprehensive risk assessments for new business initiatives, products, processes,...

  • Equities Compliance Specialist

    2 months ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Equities Compliance RoleA challenging opportunity has arisen for an experienced Equities Compliance professional to join Ashford Benjamin Ltd.Key Responsibilities:Provide expert compliance advice on APAC equities and electronic trading businessAct as the primary point of contact for regulatory and compliance matters related to market making activitiesDevelop...

  • Equities Compliance Specialist

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Job Summary:We are seeking a highly skilled Equities Compliance Specialist to join our team at Ashford Benjamin Ltd. The successful candidate will be responsible for providing compliance advice on APAC equities and electronic trading business.Key Responsibilities:Act as the primary contact person for regulatory and compliance matters related to market-making...

  • Equities Compliance Specialist

    2 months ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Equities Compliance AssociateLarson Maddox is seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key Responsibilities:Develop and enhance compliance policies and procedures tailored to global...

  • Equities Compliance Specialist

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Equities Compliance AssociateAt Larson Maddox, we are seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key ResponsibilitiesDevelop and enhance compliance policies and procedures tailored to...

  • Equities Compliance Specialist

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Key ResponsibilitiesAs a key member of the Ashford Benjamin Ltd team, you will provide critical compliance advice on APAC equities and electronic trading business. This includes acting as the primary contact person for regulatory and compliance matters related to market making activities.Key responsibilities include:Implementing compliance policies,...

  • Compliance Testing Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Job Title: VP, Compliance Testing Officer - MarketsCiti is seeking a highly skilled Compliance Testing Officer to join our team in Hong Kong. As a key member of our Compliance and Control function, you will play a critical role in ensuring the effectiveness of our compliance risk management framework.Key Responsibilities:Develop and execute compliance...

  • Compliance Testing Officer

    4 weeks ago

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

    Job Title: VP, Compliance Testing Officer, MarketsCiti is seeking a highly skilled and experienced Compliance Testing Officer to join our team in Hong Kong. As a key member of our Compliance and Control function, you will play a critical role in assessing and mitigating compliance risks across our Markets businesses.Key Responsibilities:Develop and execute...

  • Regional Equities Compliance Head

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Job Title: Regional Equities Compliance HeadHarbridge Partners is seeking a seasoned compliance professional to lead our Equities Compliance team in Asia Pacific. As Regional Equities Compliance Head, you will be responsible for providing guidance and advice to our Equities business on regulatory matters, developing and implementing compliance policies and...

  • VP Team Lead

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full time

    Job Title: VP Team LeadDBS Bank (Hong Kong) Limited is seeking a highly skilled and experienced VP Team Lead to join our Corporate Banking team. As a key member of our team, you will be responsible for leading a team of KYC Officers and ensuring the effective management of customer relationships.Key Responsibilities:Supervise and manage a team of KYC...

  • Regional Equities Compliance Head

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Job Title: Regional Equities Compliance HeadAt Harbridge Partners, we are seeking a highly experienced Regional Equities Compliance Head to join our team in Hong Kong. As a key member of our Compliance Department, you will be responsible for providing guidance and advice to our Business Units and infrastructure and support staff across all our APAC...

  • Compliance Director

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China JH Partners Asia Company Limited Full time

    Job Title: Compliance VPAt JH Partners Asia Company Limited, we are seeking a highly skilled Compliance VP to join our team. As a key member of our organization, you will be responsible for ensuring that our business practices align with regulatory requirements and industry standards.Key Responsibilities:Evaluate and implement policies and procedures to...

  • Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China CICC Full time

    Job Title: Compliance OfficerJob Summary:We are seeking a highly skilled Compliance Officer to join our team at CICC. The successful candidate will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities conducted from Hong Kong.Key Responsibilities:Provide compliance advisory to the Equities, FICC,...

  • VP, Real Estate/ Property Valuer

    4 weeks ago

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

    Job Title: VP, Real Estate/ Property ValuerWe are seeking a highly skilled and experienced VP, Real Estate/ Property Valuer to join our team in Hong Kong. As a key member of our Real Estate Risk team, you will be responsible for overseeing local valuation processes within the Asia-Pacific region.Key Responsibilities:Direct report to the Office of the Chief...

  • Compliance Director

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China JH Partners Asia Company Limited Full time

    Compliance VP Job DescriptionJH Partners Asia Company Limited is seeking a seasoned Compliance VP to lead our compliance efforts.Key Responsibilities:Evaluate organizational policies and procedures to ensure alignment with regulatory requirements and industry best practices.Conduct comprehensive risk assessments for new business initiatives, products,...