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Director, Equities Independent Compliance Risk Management Asia

Hong Kong, Hong Kong Employment contract · Job Posted March 22, 2025

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Job Description

The role involves providing compliance advisory, establishing policies, procedures, and programs, and overseeing risk management frameworks. The candidate will liaise with stakeholders to develop CRM solutions, provide compliance coverage, and monitor changes in regulations while mentoring junior staff.

Job Responsibility

  • Take senior responsibilities for providing compliance advisory and establishing internal policies, procedures, processes, and programs
  • Playing key role providing compliance coverage to Business and support function stakeholders
  • Taking lead in the design, development, delivery and maintenance of Compliance programs, policies and practices
  • Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings
  • Providing oversight and guidance over the assessment of complex issues and driving effective resolutions
  • Representing Citi on critical regulatory matters as required
  • Collaborating with internal areas to address compliance issues
  • Appropriately assess risk when business decisions are made
  • Supporting the function/business/product in performing timely compliance reviews of new transactions
  • Managing ICRM initiatives, including implementation of new Compliance systems, controls, and related project management
  • Assisting in the development and administration of Compliance training
  • Overseeing the monitoring and identification of regulatory developments
  • Analyzing and scoping the impact of new regulatory developments
  • Assisting in the establishment of ICRM policies, procedures and controls
  • Mentoring and guiding junior staff members
  • Participating in industry groups and forums

Requirements

  • Bachelor’s degree
  • Strong working knowledge of the business/product and related laws and regulations
  • Solid experience with financial institutions in compliance
  • Highly motivated, strong attention to detail, team oriented, organized
  • Excellent written, verbal and analytical skills
  • Strong communication and interpersonal skills
  • strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to interact and communicate effectively with senior leaders
  • Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls
  • Experience in the design and implementation of Compliance programs
  • Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques
  • structure potential solutions
  • drive to resolution with senior stakeholders
  • Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business/Function
  • Experience with and previous exposure to internal or external control functions and regulators
  • Ability to challenge Business/Function management and escalate issues when appropriate
  • Strong track record of effectively assessing and managing competing priorities
  • Comfortable navigating complex, highly-matrixed organizations
  • Comfortable acting as an agent for positive change with agility and flexibility
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
  • Strong presentation and relationship management skills are essential

What we offer

  • Access to telehealth options
  • health advocates
  • confidential counseling
  • various country-specific coverage
  • financial well-being resources
  • learning and development resources

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