Lead a team with scale of 10+, providing strategic direction, vision, and coaching to the team within the broker-dealer operations and middle office space. Effectively manages performance and actively develops direct reports.
Leads and manages various broker-dealer operational functions including trade booking, equity settlement, futures settlement, SBL operations, account opening, and etc.
Ensures that all daily administrative and operations functions are completed as required by business standards and industry and regulatory guidelines, and support the evolution of those functions as the business and regulatory environments change.
Ensures compliance with Citi internal policies and external regulatory policies.
Ensures proper controls are in place and are being reassessed periodically.
Work with technology and external system vendor to further enhance our internal systems as required by business standards and regulatory changes.
Provides guidance, training and motivation as necessary to develop staff and meet project deliverables. Sets performance standards, reviews performance and provides feedback.
Maintains an appropriate level of industry knowledge; keeps current on the company’s policies and objectives; continues to expand knowledge of the business and industry
Manage operations budget to achieve efficiency target
Participates in all aspects of department’s annual budget planning and long-term strategic direction for the department
Develops materials and reports for senior management. Participates in special projects and performs other duties as assigned by business and regional office.
1. Independent as a training program developer as well as a trainer
2. Implement business training programs (new account acquisition, product knowledge, selling skills, client relationship and portfolio management) for sales
3. Conduct training and certification strategy planning, budget management, and result tracking to comply with regulator requirement and citi procedure.
4. Take charge in internal and external trainings independently.
The IBC plays the crucial role of leading product risks management functions at TTS. As the product risks manager, the IBC is responsible for driving the TTS product risk management and control function for TTS Taiwan. The IBC presents a single, coordinated face to functional teams include but not limited to legal, compliance, finance and operation, ensuring TTS’s reputation as the well control and most dynamic business organization. In both leading the product risk management and protecting the franchise, the IBC must achieve collaboration and alignment across all stakeholders.
The key responsibility of the Corp Banking Business manager is supporting Corp Banking Management to maintain a robust Risk and Control environment within the Corp Banking business. The needs to have thorough understanding of Corp Banking business, an in depth knowledge of the end-to-end process flows together with a thorough familiarity of the inherent risks and controls.
Job function includes:
•Help to drive the business growth through new initiatives and pipelines follow up; follow up key financial impact and booking through revenue tracking and revenue analysis for action plans
•Track revenue trend to ensure the booking is in line with the deal arrangement/structure; raise feedback to finance, sort out solutions for timely and appropriate MIS adjustments to remedy revenue booking issues
•Coordinate with various desks and ensure timely and accurate submission to BPA of the weekly Flash-Revenue Estimates.
•Monitoring and tracking for completeness and timeliness of Operational Events reporting and inputs into EEMS.
•Monitoring and Tracking to ensure regulatory, self-identified and internal audit Corrective Action Plans get addressed and closed by the various desks timely and thoroughly.
•Be the Lead BRC (Business Recovery Coordinator) and Records Retention Officer. Responsibility includes the comprehensive planning, updating and timely execution of the COB plan and Records Retention inventory.
•Develop and implement control procedures to ensure the business is in compliance with corporate policies, regulatory requirements and regulations.
•Lead discussions with Legal, Compliance and Audit in relation to internal controls related matters.
•Undertake the Manager Control Assessment (MCA) self-assessment process, including active identification and management of control issues.
4.辦公軟件熟練。Excel, Word, PPT等軟件的熟練操作。
- ● 一般商業學類,財務金融學類,會計學類 相關科系
- ● 擁有 普通小型車 駕照
- Sell/market TTS product/services in cash management and trade business.- Accountable for elevating Citibank toward the operating bank for portfolio under his/her management.- Work with peer groups to ensure overall customer satisfaction.
-Lead & Drive assigned FC team to achieve sales targets and ensure other deliverables
- Enhance FC professionalism and productivity through various efforts, including training, coaching, joint calls, seminar, and other communication activities
- ● 人身保險業務員,投資型保險商品業務員,外幣收付之非投資型人身保險資格證照,銀行內部控制與內部稽核測驗(一般金融),投信投顧營業員,金融市場常識與職業道德,信託業業務人員信託業務專業測驗（信託法規乙科） 專業憑證
1.Responsible for front-to-back risk and control related matters for Retail Banking business, covering all aspect in Product, Marketing, Sales and Distribution processes.
2.Manage and execute the End-to-End MCA program for Retail Banking business.
3.Reviews and appraises the control design soundness and control effectiveness; Perform ongoing reviews & assess the adequacy of controls, operating procedures are in compliance with all policy and standards; Drive enhancements to the MCA program to raise the effectiveness and change management to the next level.
4.Act as the principal contact person for Retail Banking business related internal audits and external/ regulatory audits.
5.Responding promptly to detected offenses/potential issues, findings, etc., assist with development of corrective action and reporting findings to Retail Banking business
6.Governance the implementation and adherence of regulatory and policy requirements, Lead the review, revision and implementation of written policies, procedures, standards of conduct and compliance programs in Retail Banking business; lead to implement new global, regional or country control initiatives for Retail Banking business.
7.Issues communication, reports, guidelines, memorandum, etc. detailing conclusions and providing recommendation for control improvements to Retail Banking Business as needed
8.Subject Matter Expert advisor to the Retail Banking Business with regards to operational risk and controls.
9.Develop and manage effective lines of communication with the respective line supervisors and heads in the Retail Banking Business
1.Demonstrate a firm understanding of Managed Investments, with a strong ability to explain and implement asset allocation and individual asset classes with respect to their specific characteristics and within the context of a client portfolio
2.Implement advisory and discretionary investment mandates
3.Articulate and advocate the house view of Citi, as well as the investments Citi recommends, while matching the appropriate investment opportunities with the client’s profile
- ● 商業及管理學門 相關科系
Perform Derivatives & Structuring transactions, design new product, and provide tailor made solution, cross sell with other Treasury colleagues. Target client group will be MNC.
1.Responsible for front-to-back risk and control related matters for DM
2.Manage and execute the End-to-End MCA program for DM Reviews and appraises the control design soundness and control effectiveness; Perform ongoing reviews & assess the adequacy of controls, operating procedures are in compliance with all policy and standards; Drive enhancements to the MCA program to raise the effectiveness and change management to the next level.
3.Act as the principal contact person for DM related internal audits and external/ regulatory audits.
4.Responding promptly to detected offenses/potential issues, findings, etc., assist with development of corrective action and reporting findings to DM
5.Governance the implementation and adherence of regulatory and policy requirements, Lead the review, revision and implementation of written policies and procedures in DM; lead to implement new global, regional or country control initiatives for DM.
6.Issues communication, reports, guidelines, memorandum, etc. detailing conclusions and providing recommendation for control improvements to DM as needed
7.Subject Matter Expert advisor to the Insurance Business with regards to operational risk and controls. Actively participate in DPAC and NPAC related manner.
8.Develop and manage effective lines of communication with the respective line supervisors and heads in the DM
- ● 人身保險業務員,證券商業務員,證券商高級業務員,信託業業務人員信託業務專業測驗 專業憑證
- ● 商業及管理學門 相關科系
- ● 信託業業務人員信託業務專業測驗,初階授信人員,初階外匯人員,銀行內部控制與內部稽核測驗(一般金融),結構型商品銷售人員 專業憑證