JPN - Compliance Control Group Officer, Independent Compliance Risk Management
Citigroup Inc
17 日前


BusinessOverview & Position Objective :

ThisC13 (VP) position in Control Group requires Compliance experience to be able tohandle the key responsibilities described below, as well as extensive knowledgeof Japanese laws and regulations, e.

g. Financial Instruments and Exchange Act,and native level Japanese reading, writing, and speaking skills. Englishproficiency is also required to communicate with otherregions.

The position will also entail being involved inproviding advice and training to the business, therefore the candidate willneed to have a strong product knowledge of at least one of Research, Banking,or Control Group, or Firewall-

related matters. The position will require theability to interact with Banking, Capital Markets and Trading / Sales personnelat all levels of seniority (including Senior Management), as well as interactand partner with Independent Compliance Risk Management, Legal, BusinessSelection team and other control and support functions within the Firm’sInstitutional Clients Group such as Risk, Finance and O&T.

PositionResponsibilities :

Key Responsibilities : Review and assess investmentbanking, capital markets and other transactions to maintain the Firm's watchlist and restricted trading list by determining the issuers that need to bepopulated on the Firm's Watch and / or Restricted Lists as required by varioussecurities laws and / or firm policies.

  • Review transactions for materiality and potential clientconflict of interest.
  • Work closely and partner with the Business Selection team inCIB and Control Group colleagues globally to review transactions formateriality, conflicts clearance and implement deal team separation to mitigatepotential conflicts.
  • Determine and implement the appropriate Firm tradingrestrictions and maintain the firm’s restricted trading list as required byFirm policy or legal restrictions to comply with applicable regulations,manage conflicts and franchise risk, and prevent the misuse of MNPI.
  • Review and approve time sensitive trading requests in issuerson the firm’s restricted list.
  • Review for approval and facilitate the wall crossing ofpublic-side employees and provide advice on inquiries related to public / privateinteractions and potential wall-crossings.
  • Advise on handling of inadvertent emails containing potentialmaterial nonpublic information and implement appropriate controls when a publicside employee is the inadvertent recipient of such email or information.
  • Provide training related to Firm’s Information Barrier andrelated policies and procedures.
  • Coordinate with the Information Barrier Surveillance Group andhelp analyze certain activity flagged through the surveillance process.
  • Review and approve Internal Marketing Materials prepared inrelation to security offering transactions.
  • Work closely with the IT team to maintain and improve thefunctionality of the Control Group system.
  • Name check research reports for potential conflict issues.
  • Review policy and procedures relating to Control Group and ResearchCompliance
  • Provide advice, training, and awareness regarding Banking andResearch Compliance policies and procedures
  • Maintain framework(policies / procedures) for, and provide advice, training, and awarenessregarding Japan Firewall Regulations
  • Qualifications

    Qualifications and Competencies :

  • Knowledgeof Compliance laws, rules, regulations, risks and typologies
  • Must be aself-starter, flexible, innovative and adaptive
  • Stronginterpersonal skills with the ability to work collaboratively and with peopleat all levels of the organization
  • Strong writtenand verbal communication and interpersonal skills
  • Ability to bothwork collaboratively and independently; ability to navigate a complexorganization
  • Advancedanalytical skills
  • Ability to bothwork independently and collaborate with team members
  • Excellent projectmanagement and organizational skills and capability to handle multiple projectsat one time
  • Proficient in MSOffice applications (Excel, Word, PowerPoint)
  • Demonstratedknowledge in area of focus
  • JSDA InternalControl Officer qualification desirable
  • Required Language Level :

    Japanese - Advanced Level (Cancommunicate like a native speaker and perform complex tasks

    English - Intermediate Level (Can communicate like a native speaker and performcomplex tasks)


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