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APAC Head of Banking, Capital Markets & Advisory (BCMA) Product Compliance, Director
May 27, 2021
The role serves as a senior product compliance risk manager for Independent Compliance Risk Management (ICRM) covering the Institutional Client Group's (ICG) Banking, Capital Markets & Advisory (BCMA) business, including Capital Markets Origination (CMO) and Issuer Services, responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply compliance risk management (CRM) program solutions that meet the product and customer needs in a manner consistent with the Citi program framework.
Key Activities include:
Providing compliance coverage to the BCMA business within the ICG. Provides compliance guidance on product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities.
Managing a teamof Compliance professionals. Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit's role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs. Mentoring and developing junior staff.
Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies; provides direction and guidance on the programs.
Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. 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 assigned business.
Supporting the business in performing timely compliance reviews of new transactions and/or products.
Managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts.
Assisting in the development and administration of Compliance training for the assigned business.
Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the business supported.
Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned business, including cross-border impact.
Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
Participating in industry groups and trade association working groups or other forums.
Additional duties as assigned.
Job Family Group: Compliance and Control Job Family: Product Compliance Risk Management Time Type: Full time Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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