Compliance- APAC Research Compliance Senior Analyst, AVP
Citi
Kowloon, Hong Kong SAR of PRC SAR
6天前

Serves as an Asia Pacific Research product compliance risk senior analyst for Independent Compliance Risk Management (ICRM) 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.

In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the APAC Research business and customer needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to support the APAC Research business and guidance on APAC Research related rules / laws.

Responsibilities :

  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Assist with regulatory inquiries and / or examinations.
  • Collaborating 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.
  • Supporting the business in performing timely compliance reviews of new transactions and / or products.
  • Assisting in the development and administration of Compliance training for the supported function / business / product.
  • Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules / regulations
  • Additional duties as assigned.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
  • Qualifications :

  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function / business / product
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Knowledge in area of focus
  • Relevant certifications desirable
  • Education :

  • 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;
  • experience in area of focus; Advanced degree a plus

    Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - HK

    Time Type : Full time

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