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Managing and helping resolve all sales practice/investment related complaints
Periodically reviewing and affirming listing of representatives under supervision
Reviewing and approving exceptions as delegated by the ICH.
Lead and support key projects to (1) enhance controls and respond to new regulations and/or Citi Policies, and (2) implement process enhancements, management and oversight of new or arising issues; corrective actions
Presenting findings and preparing materials for regular Governance and Control Forums
Minimum 5 years of experience in Private Banking, Asset Management, Capital Markets or Securities/Funds related field
Previous experience in performing a supervisory role is preferable
Proven experience of working in, or with, control functions such as: Compliance, Audit, Risk
Strong understanding of Code of Conduct of Business as well as understanding of relevant Regulations in Hong Kong/Singapore
Ability to work well in a cooperative, high energy, matrix managed business
Ability to collaborate with and lead others to achieve objectives
Communicate effectively with senior management, build effective business relationships
Proven track record of delivery in a complex matrix environment
Flexible approach and willingness to be 'hands -on' as and when required
Good at brainstorming; can conceptualize new approaches quickly
Can communicate complex ideas simply and compellingly
Strong proficiency in English; ability to read Chinese is highly desired
Internal Number: 5468622
About Citibank NA
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