Compliance Product Senior Officer - Senior Vice President (Hybrid)

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Job Overview

The SVP of Equities ICRM provides product advisory compliance coverage to Equities Business with primary responsibility over derivatives. The senior advisory role based in Hong Kong will partner closely with sales, structuring and trading businesses in Asia providing guidance on regulatory requirements, transaction conduct, internal controls and risk mitigation measures. Serves as a senior officer for Independent Compliance Risk Management (ICRM) responsible for establishing 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 other ICRM teams and functions, in order to partner to develop and apply compliance program solutions that meet the business and customer needs in a manner consistent with the Citi program framework.

Responsibilities:

• Provide compliance guidance to sales, structuring and trading professionals across a range of equities derivatives activities
• Act as a key point of contact on regulatory matters impacting business strategy, product and transaction activities
• Assess regulatory and conduct risks and controls associated with new initiatives, products and trading activities
• Support ongoing enhancement and maintenance of policies, procedures and other compliance program and framework
• Analysis of relevant regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product ensuring effective control measures are in place.
• Manage strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• Design and lead compliance and control reviews.
• Partner with other ICRM teams and functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.
• Appropriately assess risk and conduct credible challenge, demonstrating consideration for the firm's reputation 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.
• Participate in industry groups and trade association working groups or other forums to support regulatory development and share of industry best practice.

Qualifications:

• Expertise of rules and regulations in Asia markets
• 5 - 8 years of compliance experience
• Strong technical knowledge of derivatives products preferred
• Excellent communication and analytical skills
• Must be a self-starter, flexible, innovative and adaptive
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.

Education:

• Bachelor’s degree required; legal, finance or risk related qualification preferred

  The SVP of Equities ICRM provides product advisory compliance coverage to Equities Business with primary responsibility over derivatives. The senior advisory role based in Hong Kong will partner closely with sales, structuring and trading businesses in Asia providing guidance on regulatory requirements, transaction conduct, internal controls and risk mitigation measures. Serves as a senior officer for Independent Compliance Risk Management (ICRM) responsible for establishing 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 other ICRM teams and functions, in order to partner to develop and apply compliance program solutions that meet the business and customer needs in a manner consistent with the Citi program framework.

  Responsibilities:

• Provide compliance guidance to sales, structuring and trading professionals across a range of equities derivatives activities
• Act as a key point of contact on regulatory matters impacting business strategy, product and transaction activities
• Assess regulatory and conduct risks and controls associated with new initiatives, products and trading activities
• Support ongoing enhancement and maintenance of policies, procedures and other compliance program and framework
• Analysis of relevant regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product ensuring effective control measures are in place.
• Manage strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• Design and lead compliance and control reviews.
• Partner with other ICRM teams and functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.
• Appropriately assess risk and conduct credible challenge, demonstrating consideration for the firm's reputation 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.
• Participate in industry groups and trade association working groups or other forums to support regulatory development and share of industry best practice.

• Qualifications:

• Expertise of rules and regulations in Asia markets
• 5 - 8 years of compliance experience
• Strong technical knowledge of derivatives products preferred
• Excellent communication and analytical skills
• Must be a self-starter, flexible, innovative and adaptive
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.

• Education:

• Bachelor’s degree required; legal, finance or risk related qualification preferred

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Job Family Group:

Compliance

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Job Family:

Business Compliance Risk Management

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Time Type:

Full time

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Most Relevant Skills

Analytical Thinking, Business Acumen, Credible Challenge, Digital Skills (Including AI), Laws and Regulations, Process Execution, Program Management, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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