Senior Compliance Officer - Equities - Senior Vice President

Hong Kong
13 Aug 2017
16 Aug 2017
Contract Type
  • 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: 16080695


The purpose of the role is to ensure that the business area maintains a high standard of regulatory compliance and to protect the reputation of the business.
The person will be responsible for:
  • Providing compliance and regulatory advice and services primarily to the Equities business, both domestically in Hong Kong and across all Asia Pacific countries
  • Liaising closely with Business Heads and Business Unit Manager in those departments in establishing priorities and carrying out tasks
  • Review escalations from surveillance team and handle regulatory enquiries
  • Maintain strong relationships with key regulators and exchanges: SFC, HKMA, HKEx and others
Specific responsibilities include:
  • Represent Compliance on the relevant Equity business project workstreams providing insightful credible challenge to ensure the new strategies and systems controls are robust
  • Help drive the further development of consistent first line Supervisory controls across the region
  • Provide timely advice to Markets staff with Compliance Management oversight legislative and regulatory obligations of the activities conducted within the business
  • Represent Compliance inĀ  relation to NPAC discussions to ensure compliance with both regulations and internal Citi policies
  • Participate in Compliance risk management projects, such as CARA, RCM
  • Identify regulatory reform and proposals impacting the business and drive business to complete required actions
  • Involve in Compliance project work related to Market Conduct Initiatives such as policies, training etc.
  • Assist in internal investigations and/or responses to regulatory enquiries and audits/auditor enquiries
  • Identify areas of non compliance and drive changes (if any) or enhancements to overall business controlĀ  framework (MCA enhancement)
  • Analyse and help answer all escalations arising from the monitoring and surveillance programs relevant to the activities of the Equities business and, if necessary, supplement with ad hoc desk reviews, maintaining detailed records of findings and action items
  • Assist in the development to upgrade existing compliance reporting to the business to help enable the business to better understand their areas of key compliance and conduct risk
  • Develop and execute regional compliance training programs for the business


Technical/Specialist Skills/Competencies:
  • Equities compliance experience with global banks for more than 7 years
  • Working knowledge of relevant financial markets regulatory requirements
  • Product knowledge in the Markets space
  • Personal Attributes/Interpersonal skills
  • Ability to work independently, initiate actions and complete tasks with limited direction
  • Ability to work effectively as a team member liaising closely with other Compliance Managers
  • Sound verbal and written communication skills
  • Demonstrated ability to work closely and co operatively with Compliance Manager and businesses
  • Strong planning and organisation skills
  • Demonstrated ability to implement programs/undertake tasks within agreed timeframes
  • Ability to manage multiple tasks at the same time