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ROHQ - ICRM - Compliance Product Senior Manager - C13 (VP)

Job ID 20213544 Primary Location City of Taguig, Philippines; Job Category Compliance and Control
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Serves as an APAC Head of Markets & Securities Monitoring  compliance risk manager 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 APAC Markets and Securities Services Product coverage teams, in order to partner to develop and apply CRM program solutions that meet the APAC Markets and Securities Services 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 the supported APAC Markets and Securities Services and guidance on APAC Markets and Securities Services rules/laws and interpretation on internal policies and procedures.

Key activities include:

Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM, including:

  • Undertaking risk based compliance monitoring in accordance with Citi standards to confirm required regulatory and internal requirements are being met and identify and escalate any exceptions.
  • Supporting and working with appropriate stakeholders in designing the monitoring routines to ensure that the monitoring approach and methods in gathering evidence and desired outcome are clearly described and documented.
  • Ensuring that the monitoring activities are executed as described, adequately performed and concluded.
  • Documenting issues and work with the appropriate stakeholders to ensure that issues are resolved or remediated satisfactorily and within agreed time frames
  • Managing a team of Compliance professionals responsible for program execution activities. Oversight for compensation, performance appraisals, staff development, training, etc.
  • Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transaction approvals and interpretation of internal compliance policies;
  • Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
  • 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 the function/business/product
  • Supporting the function/business/product in performing timely compliance reviews of new products
  • Assisting in the development and administration of Compliance training for the function/business/product.
  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
  • Additional duties as assigned.

Education Level and/or Relevant Experience/s: 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; previous experience in managing staff. Advanced degree preferred.

  • Required:
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • 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
  • 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
  • Preferred:
  • Some knowledge of compliance laws, rules, regulations, risks and typologies 
  • Background in developing controls, and best practices to mitigate compliance risk
  • Some knowledge in area of focus particularly on front office operations / dealings on equities and fixed income businesses

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Job Family Group:

Compliance and Control

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Job Family:

Product Compliance Risk Management

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Time Type:

Full time

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