Citi Group AVP Compliance Product Officer APAC Control Group 

China, Hong Kong 

8661750

Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At, 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.

In this role, you’re expected to:

• Provide guidance and support to facilitate transactional conflict clearance process.

• Communicate with Legal and Business Selection to ensure timely and accurate clearance of transactions.

• Analyse firm’s touchpoints to determine potential conflicts of interest.

• Provide advice and maintaining the Firm's various information barriers, through policies and procedures reasonably designed

• to prevent the misuse of material non-public information ("MNPI"), also known as non-public price-sensitive or ‘inside information’.

• Provide guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.

• Identify, evaluate, and resolve issues related to the publication of Investment Research product. Respond to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.

• Review and approve Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.

• Chaperone and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.

As a successful candidate, you’d ideally have the following skills and exposure:

• Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product

• Excellent written and verbal communication skills

• 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

• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization

• Excellent project management and organizational skills and capability to handle multiple projects at one time

• Proficient in MS Office applications (Excel, Word, PowerPoint)

• Knowledge in area of focus

• Relevant certifications desirable

• 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 area of focus; Advanced degree a plus

Time Type:

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