SVP, 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 SVP, Compliance Product Officer, APAC Control Group - Hybrid (Internal Job Title: Compliance Product Group Manager - 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 function/business/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 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.

In this role, you’re expected to:

•  Provide guidance and support to facilitate transactional conflict clearance process.
  • Evaluate and review potential transactions to ensure all relevant information is reviewed.
  • Analyze firm’s touchpoints to determine potential conflicts of interest. Provide advice and maintaining the Firm's various information barriers, through policies and procedures reasonably designed to prevent the misuse of material non-public information ("MNPI"), also known as non-public price-sensitive or ‘inside information’.
  • Provide guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.
  • Identify, evaluate, and resolve issues related to the publication of Investment Research product.
  • Respond to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.
  • Review and approve Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.
  • Chaperon and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.
  • Collaborate 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 businesses
  • Support the Research and Investment Banking businesses in performing timely compliance reviews of new products.
  • Assist in the development and administration of Compliance training for the supported businesses.
  • Stay abreast of relevant changes to rules/regulations and other industry news including regulatory findings, and implementing policies, procedures or other controls necessary to comply with the rules.
  • Maintain the Firm’s Watch and Restricted List and determining appropriate levels of restrictions and research quiet periods.
  • Collaborate with colleagues on a global level and standardize regional practices. Provide senior leadership and support to other members of the Conflicts and Information Barrier team including developing and implementing training programs for new joiners.
  • Lead special projects to enhance efficiencies, identify and mitigate risk, and implement technological solutions.
  • Advise ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
  • Assist in the design, development, delivery and maintenance of best-in-class compliance, programs, policies and practices for ICRM.
  • Serve as a subject matter expert on Citi’s Compliance programs. Provide expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
  • Independently engage with senior Business management and other global functions to resolve complex issues and address the associated Compliance and Regulatory Risks.
  • Assist with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
  • Additional duties as assigned. 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 a successful candidate, you’d ideally have the following skills and exposure:

• Expertise of Compliance laws, rules, regulations, risks and typologies. Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making strongly preferred.
• Experience working in a Control Group or Product Compliance function that covered Investment Banking transactions and or Research strongly preferred.
• Extensive knowledge of FINRA Rules 2241 and 2242, Rules 138 and 139 safe harbours, Section 5 risks, The Global Research Settlement & The Jobs Act (EGCs) preferred.
• Demonstrated knowledge in Research Review, Global Research Settlement and Capital Formation issues preferred.
• 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. Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
• 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 and US laws, international and industry standard
• 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 managing a diverse staff; Advanced degree a plus

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