HK - GCB - VP, In Unit Control - Investment and Insurance
Citigroup Inc
Hong Kong


  • Engages in discussion with Retail Bank and relevant stakeholders on escalated incidents to determine root cause and conduct the impact assessment
  • Assists and agrees with Retail Bank to formulate proper and viable remedies, CAPs and compensating controls to mitigate operational risk
  • Assists Retail Bank to meet with new regulatory requirements by engaging in gap and control design discussions with Compliance and relevant stakeholders
  • Assists I&I to put in place proper controls to new process by providing insight and suggestion from operational risk perspective
  • Follows through with Retail Bank to ensure implementation of relevant new process and controls by deadline
  • Assists Retail Bank to build / implement end-to-end process and necessary enhancement by providing suggestions and insights on control designs on daily basis, e.
  • g. MCA control process update to reflect business changes, new product / initiative reviews

  • Assists Business in improving IA or regulatory review results by providing advice / suggestions to Risk Control Matrix (RCM) write-
  • ups as part of review preparation

  • Acts as an independent investigation party for Sales Practices Complaints of Retail Bank and surveillance to ensure impartiality and quality of investigation
  • To identify any practice issues, operation lapse and opportunity for enhancement to end-to-end sales process, backend operational process and training opportunity to frontlines
  • Provides suggestions to case resolution and CAPs to members of Sales Practice Review Meeting and follow through with Retail Bank completion of CAPs identified
  • Qualifications

  • Minimum 11 years working experience in the Financial Services industry
  • Minimum three years in an Internal Audit, Risk Management, or Control Management-related role
  • Bachelor Degree or equivalent professional qualification
  • Strong understanding of process and controls concepts, including risk identification, monitoring frameworks and methodologies
  • Strong background in Retail Bank products
  • Strong experience in dealing with auditors and regulators
  • Sound understanding of the regulatory framework
  • Relationships : Able to build rapport with key business stakeholders, ensuring open information flow Be sought out as an expert and constructive advice giver
  • Leadership & Management : Develop and communicate strategies to achieve required business practice standards
  • Proactive : Challenge status quo, look for gaps or improvements in current business practices, anticipate change and act to ensure business readiness
  • Innovation : Look for business oriented solutions, whilst ensuring coverage of regulatory and policy standards and engaging with stakeholders
  • Primary Location

    APAC-HKG-Hong Kong-Hong Kong

    Yes, 10 % of the Time

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