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Compliance Product Sr. Analyst - Custody and Securities Services, Shanghai

Created02/21/2021
Reference21257162
CategoryCompliance and Control
CountryChina
CityShanghai
SalaryCompetitive
Serves as a Securities Services compliance risk senior analyst 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 Securities Services' 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 Securities Services business and guidance on Securities Services rules/laws.

Key activities include:

  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • PreferredCustody compliance background in banks, security firms and funds firms. Strong working knowledge of CSRC related regulations
  • Providing product compliance coverage and oversight for Securities Services, such as Direct Custody & Clearing (e.g. QFII/RQFII), Custody and Fund Service (e.g. QDII/RQDII, Domestic Mutual Fund Custody)
  • Working with and supporting Securities Services to apply for new business licenses and infrastructure setup.
  • Assisting with regulatory inquiries and/or examinations.
  • 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 Securities Services.
  • Supporting the business in performing timely compliance reviews of new transactions and/or products.
  • Assisting in the development and administration of Compliance training for the supported Securities Services.
  • Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
  • Additional duties as assigned.


Required:

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

Minimum 10 years' experience

Preferred: Advanced degree (e.g. JD, MBA) a plus

Required:
  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported Securities Services
  • 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


Other: Relevant certifications desirable, such as AMAC/SAC certificates.

Job Family Group:
Compliance and Control

Job Family:
Product Compliance Risk Management

Time Type:

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EmployerCompliance Product Sr. Analyst - Custody and Securities Services

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