Vice President, Fund Compliance

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Job Overview

The Vice President, Fund Compliance is a senior management level responsible for accomplishing results through the management of a team and driving the delivery to clients and projects for effectiveness and efficiency. The overall objective of this role is to ensure the seamless and timely delivery of activities and projects associated with post-trade compliance monitoring.

Responsibilities:

• As the country Head of PTC, ensuring seamless and timely delivery of services to clients, and set up and implement robust controls, monitoring and reporting for existing and new clients

• Work closely with the PTC Oversight team to ensure seamless delivery of excellent BAU and new client on boarding

• Manage, train and develop a team of professionals to accomplish established goals and conduct personnel duties for team (e.g. performance evaluations, hiring and disciplinary actions)

• Identify opportunities to implement process improvements and recommend system, service, and process enhancements including leading and evaluating system testing

• Coordinate staff assignments to achieve effectiveness and efficiency through assessment of business requirements and staff skill sets and development needs

• Build and maintain relationships with internal and external clients, and serve as point of escalation and delivering solutions of complex customer issues

• Perform discovery and due diligence with clients and visits regarding service quality measurement

• Manage the Risk and Control agenda including audits, interfacing with internal and external auditors, and identifying process gaps

• Work closely with senior management on identifying opportunities for cost saves, full-time equivalent (FTE) reduction, and achieving continuous efficiency gains

• Work closely with Sales and CEs on client management and service improvement initiatives

• Stay abreast of market and regulatory developments in the PTC industry

• Assist the Regional Head to share best practices and deliver projects assigned from time to time.

• 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards

Professional Skills

Key Citi Competencies required for effective performance including:

• Business Acumen

• Execution

• Innovation

• Personal Effectiveness

• Project/Program Management

Qualifications:

• 6-10 years of relevant experience in the financial industry (fund management / insurance business will be preferred), with exposure to post-trade compliance platforms, creating and maintaining rules for purposes of portfolio compliance. Knowledge of the various component feeds to the system (fund accounting data base, third party vendor feeds) will be an added advantage.

• Accountancy / CFA

• Review fund prospectuses / offering documents, operating memorandums and key fund documentation

• Experience in fund accounting within financial services, strategic management, resource/expense management, and managing client relationships

• Experience in managing operational delivery

• Extensive knowledge of funds services and process

• Demonstrated leadership and management skills

• Ability to work in a team-oriented environment

• Consistently demonstrates clear and concise written and verbal communication

• Demonstrated Subject Matter Expert (SME) knowledge in related area

• The ability to provide partial or full coverage during Australia business hours is an advantage

• Willing to work on Malaysia public holidays.

Education:

• Bachelor’s degree/University degree or equivalent experience

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Job Family Group:

Operations - Transaction Services

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Job Family:

Fund Accounting

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Time Type:

Full time

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Most Relevant Skills

Please see the requirements listed above.

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Other Relevant Skills

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

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