GF - Regional Markets Compliance Officer

GF - Regional Markets Compliance Officer

  • Primary Location: Singapore,Singapore,Singapore
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 16059055


Description

Position Objective:

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 ICG Markets business, both domestically in Singapore 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: MAS, SGX, and ICE Singapore
Key Responsibilities

Specific responsibilities include:
  • Provide timely advice to Markets staff with Compliance Management oversight on legislative and regulatory obligations of the activities conducted within the business.
  • Review new products proposals to ensure compliance with both regulations and internal Citi policies
  • Identify regulatory reform and proposals impacting the business
  • Assist in internal investigations and/or responses to regulatory enquiries and audits/auditor enquiries
  • Identify areas of non-compliance and recommendations for changes (if any) or enhancements to overall business Compliance framework
  • Analyze and review all escalations arising from the monitoring and surveillance programs relevant to the activities of the Markets business and, if necessary, supplement with ad hoc desk reviews, as well as maintaining detailed records of findings and action items
  • Assist in the production and review of compliance policies and procedures
  • Develop and execute compliance training programs for the business
  • Develop close working relationships with the business to engender a culture of compliance within the business
Development:
This role helps developing the employee to manage the relationships with Compliance officers throughout Asia Pacific to achieve consistent outcomes and project goals.

Qualifications

Experience:
  • Experience in a compliance/regulatory or audit role
Skills:
  • Excellent written and verbal communication skills
  • Good at developing effective plans and solves problems
Qualifications:
  • Tertiary qualifications in a business discipline is ideal but not essential
Competencies:
  • Knowledge of financial markets and transactions
  • Knowledge of financial markets regulatory environment