VP, Compliance Surveillance Officer - APAC Surveillance Product Specialist VP, Compliance Surveillance Officer - APAC  …

Citi
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
Competitive
Citi
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
Competitive
Citi
VP, Compliance Surveillance Officer - APAC Surveillance Product Specialist
Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM).  This is a risk officer who will be responsible to track and intemperate rule changes, regulatory guidance, industry best practices, and regulatory developments related to the trading rules and surveillance.  The incumbent must have the ability to articulate and distill those changes into potential new surveillance requirements/obligations, assist with writing business requirement, and work with key stakeholder to develop new surveillance scenarios/patterns. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
Key Activities include:
  • Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
  • Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
  • Other responsibilities include: overseeing the monitoring to adherence to ICRM's Risk Policies and relevant procedures; preparing, editing and maintaining Compliance program related materials; interacting and working with other areas within Citi, as necessary; and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
  • Interacting with global counterparts in regards to the governance of their surveillance portfolio. 
  • Additional duties as assigned
Qualifications:
  • 5 to 7 years plus years experience in a surveillance compliance or compliance advisory function at an investment bank or regulator highly preferred.
  • Strong knowledge of products traded by the Institutional Clients Group, markets/market structure, trading rules and regulations, and regulatory expectations of surveillance programs.
  • Ability to track and intemperate rule changes, regulatory guidance, industry best practices, and regulatory developments related to the trading; ability to articulate and distill those changes into potential new surveillance requirements/obligations
  • Expertise of Compliance laws, rules, regulations, risks and typologies
  • Strong skills in organizing workflow, ideas and materials
  • Experience with drafting Business Requirement Documentation (BRD)
  • Excellent written, verbal and analytical skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements including local and EMEA laws, international and industry standards 
  • Advanced knowledge in regulatory change management and surveillance development.
Education:
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 regulatory change and surveillance requirements development; Advanced degree (e.g. JD, MBA) a plus
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