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VP, Product Compliance Officer, Wealth

Hong Kong, Kowloon · Job Posted March 21, 2025

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Job Description

Serves as a Wealth Market Product Compliance risk officer 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.

Job Responsibility

  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
  • Providing guidance on rules and regulations relating to Consumer and Citi Private Bank ("Wealth") Market business/products which include Equity, Fixed Income, Structured Product and Derivatives, as well as provide transactional/product reviews and interpretation of internal compliance policies
  • Assisting with regulatory inquiries and/or examinations
  • Collaborating 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 function/business/product
  • Supporting the function/business/product in performing timely compliance reviews of new products
  • Assisting in the development and administration of Compliance training for the supported function/business/product
  • Additional duties as assigned.

Requirements

  • Knowledge of Hong Kong and Singapore Compliance laws, rules, regulations, risks, preferably of Consumer banking
  • 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
  • Strong written and verbal communication and interpersonal skills
  • Ability to both work collaboratively and independently
  • ability to navigate a complex organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Demonstrated knowledge in area of focus
  • 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
  • strong working knowledge of function/business/product supported and the related operations and financial requirements
  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.

What we offer

  • Extensive on-the-job training and exposure to senior leaders
  • Opportunity to grow your career, give back to your community and make a real impact
  • Resources to meet your unique needs, empower you to make healthy decisions and manage your financial well-being to help plan for your future.
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