Compliance Product - APAC Control Group (Control Room) - Assistant Vice President Compliance Product - APAC Control Group (Control  …

Citi
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 06 août 20
Competitive
Citi
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 06 août 20
Competitive
Citi
Compliance Product - APAC Control Group (Control Room) - Assistant Vice President
Serves as a Control Group (Control Room) Compliance Risk Senior Analyst (AVP) 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 business 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 to Institutional Clients Group (ICG) businesses and guidance on  inside information or material nonpublic information (collectively "MNPI") issues, related information barriers and laws/rules/regulations related to the Investment Research business, such as research independence.
Key activities include:
  • 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, inside information assessments and updates to the watch and restricted list, are executed in an accurate and timely manner.
  • Review research product prior to publication in order to identify and address any problematic legal, regulatory and reputational issues.
  • Assist with regulatory inquiries and/or examinations.
  • 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.
  • 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 business in performing timely compliance reviews of new transactions and/or products.
  • Assisting in the development and administration of Compliance training for the supported function/business/product.
  • Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
  • Additional duties as assigned.        
Qualifications:
  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies related to MNPI, information barriers and Research independence.
  • Excellent written and verbal communication skills
  • 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
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Knowledge in area of focus
  • Relevant certifications desirable
Education:
  • 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; Advanced degree a plus
Experience:
  • 4+ years' experience in a similar Compliance role.
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Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - HK------------------------------------------------------
Time Type :Full time------------------------------------------------------
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