Citi HK - GF - Senior Product and Core Compliance Officer in Hong Kong

  • Primary Location: HK,Hong Kong,Hong Kong

  • Education: Bachelor's Degree

  • Job Function: Compliance and Control

  • Schedule: Full-time

  • Shift: Day Job

  • Employee Status: Regular

  • Travel Time: No

  • Job ID: 17034128

Description

Responsibilities:

  • Ensure adequate compliance and control oversight, and to institute a disciplined compliance and control framework and process

  • Advise consumer banking business teams for business initiatives, and to review product programs, procedures, sales & marketing materials and incentive programs

  • Develop and review compliance policies & procedures, and to ensure effective implementation

  • Help business teams in implementing a robust sales supervisory framework including product suitability, risk disclosures, surveillance and monitoring

  • Manage regulatory examinations, reports and enquiries, and to coordinate external reviews and audits

  • Conduct compliance training on various areas

  • Manage the Regulatory and Control Matrix (RCM) including regular communication with different businesses/functions

  • Responsible for tracking on regulatory exam and process with Regulatory Event Tracking (RET) and regulatory correction action plans (integrated CAP)

  • Oversee regulatory change management processes, including Implementation Tool for Regulatory and Compliance changes (iTRAC) and RCM

  • Serve as the liaison with regional compliance teams relating to various core compliance and Must Win Battles programs

  • Assist in Compliance Annual Risk Assessment (CARA) exercise

  • Compliance team MCA coordination, testing and monitoring

  • Support the HK and Macau Citi Country Compliance Officer (CCCO) with franchise governance and dashboard reporting

  • Manage core and local policy requirements, e.g. Continuity of Business

  • Assist in managing various Core Compliance activities and help on other Compliance functions

Qualifications

Requirements:

  • Bachelor’s Degree or above, or professional qualification

  • Minimum 8 years of financial or regulatory experience

  • Experience with regulatory, compliance, risk and control is an advantage

  • Knowledge of HK rules and regulations

  • Ability to communicate with multiple lines of management, and multi-tasking

  • Excellent analytical and problem solving abilities

  • Proactive and excellent interpersonal skills

  • High degree of attention to detail

  • Able to work independently and be a team player

  • Excellent written and spoken English and Chinese

  • Proficient in Word, Excel, and PowerPoint