CPB - Business Control Manager

Citibank - More jobs by this advertiser
CPB - Business Control Manager-19004575

To assist the respective Investment Centre Head (ICH), the Business Control Manager will be responsible for various supervisory duties as assigned, which will include:

  • Monitoring of Investment Objective Setting (‘IOS’) forms for client accounts
  • Monitoring and oversight of account level risk versus Investment Objectives, Risk Tolerance and other suitability information through execution of the Daily Risk Management Review (‘DRMR’) process
  • Monitoring and review of Suitability Surveillance Cases, and similar surveillance reports generated in relation to investment transactions
  • Reviewing and approving certain alternative investments, higher risk or complex transactions either pre or post promotion
  • Performing regular account documentation/suitability reviews including cross border aspects (e.g., Offshore Wealth Services [OWS])
  • Managing and helping resolve all sales practice/investment related complaints
  • Periodically reviewing and affirming listing of representatives under supervision
  • Reviewing and approving exceptions as delegated by the ICH.
  • Lead and support key projects to (1) enhance controls and respond to new regulations and/or Citi Policies, and (2) implement process enhancements, management and oversight of new or arising issues; corrective actions
  • Presenting findings and preparing materials for regular Governance and Control Forums

  • Minimum 5 years of experience in Private Banking, Asset Management, Capital Markets or Securities/Funds related field
  • Previous experience in performing a supervisory role is preferable
  • Proven experience of working in, or with, control functions such as: Compliance, Audit, Risk
  • Strong understanding of Code of Conduct of Business as well as understanding of relevant Regulations in Hong Kong/Singapore
  • Ability to work well in a cooperative, high energy, matrix managed business
  • Ability to collaborate with and lead others to achieve objectives
  • Communicate effectively with senior management, build effective business relationships
  • Proven track record of delivery in a complex matrix environment
  • Flexible approach and willingness to be 'hands -on' as and when required
  • Good at brainstorming; can conceptualize new approaches quickly
  • Can communicate complex ideas simply and compellingly
  • Strong proficiency in English; ability to read Chinese is highly desired


6 April 2019
Location: Singapore Singapore
Work type:
Full time
Banking and Financial Services
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.

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