Serves as a Singapore Equities & Futures, Clearing and Collateral product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the business and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported products and guidance on these products' rules, laws and interpretation on internal policies and procedures.
Key activities include:
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
- Providing guidance on rules and regulations relating to business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported business/product.
- Supporting the business/product in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supported business/product.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned.
Education level and/or relevant experience(s)
Required:
- Bachelor's degree; at least 8 to 10 years of experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of business/product supported and the related operations and financial requirements
Knowledge and skills
Required:
- Knowledge of Compliance laws, rules, regulations, risks and typologies Specifically, well versed in the Singapore Securities and Futures Act, the Singapore Financial Advisers Act and the Singapore Exchange Rules covering the equities and exchange traded derivatives space.
- 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
- Strong written and verbal communication and interpersonal skills
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Ability to both work independently and collaborate with team members
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge in area of focus
Job Family Group:
Compliance and Control
Job Family:
Product Compliance Risk Management
Time Type:
Full time
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