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职位详情

Central Compliance

上海市|2019-12-05
5k-8k
基本信息
公司行业银行
所属部门合规
公司规模10000人以上
公司性质外资(欧美)
公司地址

纽约市公园大道399号

职位描述

Job Purpose:



*Responsible for coordinating the compliance risk management in Core ICRM.



*Work closely with in-country stakeholder in executing the country Compliance Program, consistent with global/regional compliance initiatives, standards and requirements.






Key Responsibilities:






- Local Exam Management



Responsible in protecting the Citi China franchise by providing overall coordinating and facilitating the regulatory exam process. Manage regulatory exam from various local regulators, which among others include serving as main contact for the regulators and liaison with the business/functions, coordinating submission of complete deliverables, coordinating responds on queries and/or potential concerns, manage the administration of timely recording of exam into RET and the regulatory issues into iCAPs, and manage issue closure as targeted that include periodic monitoring and reminder to relevant stakeholders, providing status update to regulator, etc.






· In Country ICRM Adviser for Citi Franchise Wide Policies



Responsible to provide feasible business advisory and support to the growth of business, by ensuring that the franchise is conducting business in an accountable manner under Citi Global standard. Responsible to provide advice to business/functions on the implementation of Citi policies that include Anti Bribery and Corruption including Gift and Entertainment policy, Employee Trading and Outside Directorship & Business Interest Policy (ODBI), Mandatory Absence Policy, Chinese Wall/Information Barriers, etc. Work with Control Room and in-country stakeholder for the Chinese wall design. In addition, also responsible for the quarterly compliance monitoring on ETP, ODBI and Mandatory Absence, Chinese Wall.






· In country MCA Coordinator



Responsible for the management of overall MCA process within in country ICRM, which include providing credible challenge for the Business/Function ARA sessions, performing the quarterly test MCA for ICRM. In addition, also






· Manage GRRITT Process locally



Oversee Local Regulatory Reporting (LRR) management processes within country ICRM, which include coordinate country ICRM to do regular attestation, update ICRM LRR procedures, timely review and submit reports in accordance with regulatory requirements and Citi LRR policy. LRR reports owned among others include: Compliance Annual Plan and Compliance Risk Management Self-assessment report, monthly business report, quarterly compliance report and quarterly corrective action tracking report etc.






· Regulatory Change Management Process (RCP)



Manage the overall regulatory change process from local regulators within country, including monitoring regulations/notices released by local regulators (including China Banking Regulatory Commission, People’s Bank of China, and State Administration of Foreign Exchange etc.) . The responsibility includes ensuring timely identification, dissemination of new or updated regulation to key stakeholders, monitor RCP status, and work with Product ICRM to make sure the timely completeness of RCP items. Provide RCP MIS report to governance committees such as BRCC.






· Regulatory Control Matrix (RCM) Program



Act as country coordinator of RCM Program, coordinate completion of any regional/global initiative related to RCM Program, work with Product ICRM to resolve RCM quality exceptions. Provide advices to Global Function units on matters related to the RCM Program, which include reviewing the adequacy of control and assessment descriptions for Requirements/Rules. Provide RCM updates to governance committees such as BRCC.






· Manage ICRM Governance Reporting Locally (including Dashboard (Atlas))



Manage Compliance updates process for the purpose of in country governance meetings (including Risk Management Committee which is under Board of Citibank (China) Co., Ltd., BRCC, LCC, CTPMSC, RRGC etc.) and prepare Compliance Monthly Report to Regional ICRM. This include among others regulatory exam (e.g. exam status, highlight of potential concern, regulatory penalty etc.). In addition, be responsible in managing the preparation and submission of quarterly business monitoring on country ICRM for Internal Audit. Create country Compliance Monthly Report in Atlas system.






Qualifications:



University degree or above



Teamwork spirit and willing to work under pressure



Good communication skills in both English and Chinese (written and spoken)

岗位要求
学历要求本科
性别要求不限
专业要求不限
工作年限不限
语言要求不限
年龄要求年龄不限
企业介绍

花旗银行(Citibank)是花旗集团属下的一家零售银行,其主要前身是1812年6月16日成立的纽约城市银行(City Bank of New York),经过近两个世纪的发展、并购在21世纪初期一度成为全世界最大的银行控股公司。花旗在全球近一百五十个国家及地区设有分支机构,总部位于美国纽约市公园大道399号。它是当今世界资产规模最大、利润最多、全球连锁性最高、业务门类最齐全的金融服务集团之一。它是由花旗公司与旅行者集团于1998年合并而成,并于同期换牌上市的。换牌上市后,花旗集团运用增发新股集资于股市收购、或定向股权置换等方式进行大规模股权运作与扩张,并对收购的企业进行花旗式战略输出和全球化业务整合,使花旗集团在短短五年时间里,总资产规模扩大了71%,股东权益增加92%,资本实力不断提高;总收入提高72%,利润增长 2.6倍,表现出不凡的盈利能力;其股票在进行一次送股(每3股送1股)和 22次分红派息(每股分红共计$3.82)的情况下,每股净值仍提高了一倍,价格翻了一番。花旗股票是纽约股市著名的绩优蓝筹股。
花旗集团在全球一百多个国家约为二亿客户提供服务,包括个人、机构、企业和政府部门。提供广泛的金融产品服务从消费银行服务及信贷、企业、投资银行服务、以及经纪、保险和资产管理等,非任何其它金融机构可以比拟。现汇集在花旗集团下的主要有花旗银行、旅行者人寿、养老保险、美邦、Citi-financial、Banamex和Primerica。

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