CSTC Compliance and Control Specialist

  • Competitive
  • Shanghai, Shanghai Shi, China
  • Permanent, Full time
  • Citi China Company Limited 花旗中国
  • 18 Oct 17 2017-10-18

CSTC Compliance and Control Specialist

  • Primary Location: China,Shanghai,Shanghai
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 17063520


General Control
  • Provide value-added recommendations to improve the control environment.
  • Track business issue, Operational loss, Near Miss, and other control metrics with significant impact on business quality.
  • Identify risk area by analysing business metrics, monitoring emerging threats and evaluate potential impact to business.
  • Provide guidance on open issues to business units for effective resolution and report the progress to senior management and counterparties as appropriate.
  • Influence and negotiate with business to deliver risk management capabilities
  • Support business teams on the development of solutions to mitigate business risk.
  • Reporting and escalation to for business risk
  • Facilitate BRCC meeting, prepare meeting deck, reconcile business data, observation escalation, and track follow up items
  • Coordinate internal audit and external review; work closely with business units for audit deliverables, review supporting documents on timely basis
Self-assessment Program - MCA (Manager Control Assessment)
  • Promote awareness of MCA process, as well as revisions and developments, and provide consistent interpretation of MCA requirement to business units.
  • Track MCA implementation, aggregate assessment summary into company level
  • Follow up with business owner on MCA findings and track observations till closure.
  • Facilitate MCA Annual Risk Assessment (ARA), review ARA template with business owner/ counter-parties to ensure risks eliminated or within control.  
CoB (Continuity of Business)
  • Work with Country CoB team for CoB calendar tracking
  • Periodically review of business recovery plan
  • Facilitate CoB Drills, host Command Center, response to emerging issues, report testing result to management team, share lessons learned
  • Provide regular training to BRCs and help business to identify weakness in contingency plan
Staff Training
  • Provide compliance training to business unit and prompt business understanding of Citigroup policy/ procedure.
  • Assist the business units in identifying risk and integrating legal/regulatory compliance requirements into procedures and new product/process proposals.


  • Bachelor or above degree in Legal, Audit, Finance or technology
  • 5 years working experience, Audit or Compliance preferred 
  • Fluent in both oral and writing English
  • Mature personality, capable of leveraging and pushing for business solutions.