VP, Compliance Product Officer, APAC Control Group

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Citi’s Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm.  We manage compliance risk, provide legal analysis and advice, protect Citi’s people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi’s mission and culture.

We’re currently looking for a high caliber professional to join our team as VP, Compliance Product Officer, APAC Control Group - Hybrid (Internal Job Title: Compliance Product Officer - C13) based in Hong Kong. Being part of our team means that we’ll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future.  For instance:

Position summary:

Serves as a Control Group compliance risk officer 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 businesses 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 function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures.

In this role, you’re expected to:

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

• Ensure that Control Group processes, including conflicts clearance, information barrier designation review are handled in an accurate and timely manner

• Working with the Firm’s Research division to provide advice on regulatory matters in relation to research product (e.g. Investor Education Research and ordinary course research publication) as well as managing the process for interaction between bankers and analysts in capital formation under the Firm’s policies and procedures. 

• Review research product prior to publication in order to identify and address any problematic legal, regulatory and reputational issues.

• Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional review and 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 function/business/product.

• Supporting the businesses in performing timely compliance reviews of new products.

• Assisting in the development and administration of Compliance training for the supported function/business/product.

• Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.

• Provide tactical day to day support within the team

• Additional duties as assigned.

As a successful candidate, you’d ideally have the following skills and exposure:

• 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

• Relevant certifications desirable

• Bachelor’s degree; 7+ years experience in compliance, legal or other control-related function in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements.

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Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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