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Compliance Officer

2 weeks ago

Singapore Citi Full time
Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism.

Shape your Career with Citi

Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.

We're currently looking for a high caliber professional to join our team as Vice President , Compliance Surveillance Officer - Hybrid (Internal Job Title: Compl Surveillance Officer - C13) based in, Singapore. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:
  • Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.
  • Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.
  • We have a variety of programs that help employees balance their work and life, including generous paid time off packages.
  • We offer our employees resources and tools to volunteer in the communities in which they live and work. In 2019, Citi employee volunteers contributed more than 1 million volunteer hours around the world.
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance Regulatory Inquiries team responsible for timely and accurately responding to markets/trading-based regulatory inquiries issued by regulators across the Asia North and South clusters that may be indicative of violations of regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team will also be responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. This position will also assume an active leadership role in the build-out of the team's workflow process, including a metrics-producing platform for those regulatory inquiries that fall under the team's remit.

In this role, you're expected to :

Gathering, reviewing, investigating, and analyzing trade data in furtherance of responding to regulatory inquiries issued by regulators across the Asia North and South clusters. The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.
  • Leveraging regulatory inquiries to detect regulatory trends and areas of focus, and to spot potential enhancements to ICRM trade surveillance parameters and thresholds.
  • 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 ICRM 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.
  • Additional duties as assigned.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
As a successful candidate, you'd ideally have the following skills and exposure:
  • 5-8 years of experience
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple responsibilities
  • Excellent research and analytical skills
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Has the ability to operate with a limited level of direct supervision.
  • Can exercise independence of judgement and autonomy.
  • Acts as subject matter expert (SME) to senior stakeholders and/or other team members.
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization.
  • Bachelor's degree or equivalent experience
Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community and make a real impact.

Take the next step in your career, apply for this role at Citi today

https://jobs.citi.com/dei
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Job Family Group:
Compliance and Control
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Job Family:
Surveillance
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Time Type:
Full time
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