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Shape your Career with Citi

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 SVP, Product Compliance Officer, Banking Capital Markets - Hybrid (Internal Job Title: Compliance Product Senior Officer - C14) 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 senior Banking Capital Markets product compliance risk 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 protects the franchise. This position will additionally engage with related ICRM International, country-based product and function coverage teams, in order to partner in developing and applying Compliance Risk Management (CRM) program solutions that meet the Banking business and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include liaising across hubs and countries/jurisdictions with respect to on-going Compliance and Transformation program responsibilities, working to rationalize and standardize assessment and monitoring of compliance risk behaviors, providing day-to-day Compliance advice relating to both Capital Markets and Corporate Banking business activities and the associated laws, rules and regulations and associated internal policies and procedures.

In this role, you’re expected to:

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on relevant Compliance-risk related programs.

• Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.

• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory developments and findings.

• Oversight and review of monitoring/assessments and identification of regulatory developments, including enforcement actions, new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product (Banking).

• Analyze and scope the impact of new and (potentially) complex regulatory developments across function/business/product, including assessment of any potential cross-border impact(s).

• Advise ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.

• Participating in industry groups and trade association working groups or other forums.

• Leading initiatives, including actively working on Transformation projects, deliverables and related impactful work streams with a results-driven focus to deliver solutions, including coordinating with Legal and Banking teams as needed with respect to the implementation of new regulatory requirements.

• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as with respect to relevant internal monitoring, surveillance, testing and/or audit reviews.

• Designing and leading compliance and/or control reviews.

• Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and/or detect potential instances of non-compliance or related issues and to continuously and proactively promote a culture of compliance.

• Additional duties as needed and/or assigned.

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

• Expertise with respect to Investment Banking, Capital Markets and related Compliance requirements, laws, rules, regulations, risks and typologies;

• Excellent written, verbal 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.;

• Awareness of regulatory requirements including local (HK) and US laws, international and industry standard(s);

• Advanced knowledge in area of focus (e.g., Capital Markets, ECM, DCM);

• Related certifications desirable

• 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; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience working with and/or managing a diverse staff; Advanced degree a plus.

Job Family Group:

Compliance and Control

Job Family:

Product Compliance Risk Management

Time Type:

Full time

Citi is an equal opportunity and affirmative action employer.

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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Citi is an equal opportunity and affirmative action employer.

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