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AVP, Compliance Product Officer, APAC Control Group

Hong Kong, Kowloon · Job Posted March 22, 2025

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Job Description

Serves as a function/business/product compliance risk senior analyst 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. Engages with the ICRM Product and Function coverage teams 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.

Job Responsibility

  • Provide guidance and support to facilitate transactional conflict clearance process
  • Communicate with Legal and Business Selection to ensure timely and accurate clearance of transactions
  • Analyse 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")
  • 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
  • Chaperone and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process

Requirements

  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product
  • 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
  • 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

What we offer

  • Extensive on-the-job training and exposure to senior leaders
  • Traditional learning opportunities
  • Chance to give back and make a positive impact through volunteerism
  • Resources to meet unique needs
  • Empowerment to make healthy decisions and manage financial well-being
  • Support for planning for the future
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