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Associate/VP role in quality control at Citi, focused on capital markets and regulatory compliance.
Drive investment banking quality control, oversee compliance and risk management in a global bank.
Associate/VP, Quality Control, Investment Banking (China Securities NewCo)
Location: (sin ubicación)
Description: Discover your future at Citi
Working at Citi is far more than just a job. A career with us means joining a team of more than 230,000 dedicated people from around the globe. At Citi, you’ll have the opportunity to grow your career, give back to your community and make a real impact.
Job Overview
The Banker is a senior level position responsible for assisting clients in raising funds in the capital markets, as well as in providing strategic advisory services for mergers, acquisitions and other types of financial transactions in coordination with the Institutional Banking team. The VP Banker also serves as an intermediary in trading for clients. The overall objective of this role is to act as a strategic advisor to our clients by formulating investment strategies and raising capital for clients.
Responsibilities
- Assume significant levels of responsibility for the various phases of project and transaction execution, new business development and overall growth of the firm
- Work closely with clients on financing transactions and guide them through the capital raising process, including leading due diligence and drafting sessions and preparing them for an equity or debt offering
- Work with clients, senior-level team members and outside professional advisors on M&A and special situation transactions
- Responsible for drafting situation analyses, pitch materials, information memoranda, investor and management presentations and oversee work being performed by analysts & associates assigned to projects
Recommended Qualifications
- 6-10 years of experience
- Experience in the Financial Services industry, specifically within Banking
- Degree in Finance or closely related areas of Business Administration
- MBA or Master's Degree in Business preferred
- Comprehensive knowledge of the corporate banking business and its related products, pertinent regulations and lending and credit approval processes
- Consistently demonstrates clear and concise written and verbal communication skills
- Experience with large corporate clients, capital markets products, derivatives, credit, cash management, trade, finance and securities products
- Series 7 and 63 preferred
Education
- Bachelor’s degree/University degree or equivalent experience
- Master’s degree preferred
Quality Control & Compliance
- Engage in defining and optimizing investment banking quality control standard and framework, including policies and procedures, deal process and system
- Review and assess investment banking transactions with respect to business selection and internal review standards and requirements
- Perform QC review of the materials and documents submitted/filed/disclosed by deal teams to make sure the compliance with relevant rules and regulations, CSRC / stock exchange requirements and self-regulatory body rules
- Monitor and assess whether the deal team have diligently performed due diligence duties
- Perform necessary onsite inspection and issue explicit onsite inspection opinion when material risks are identified
- Manage and supervise post-issuance continuous supervision and bond entrustment management responsibilities
- Guide and review the deal teams to complete working paper archiving in accordance with relevant requirements
- Carry out policy and regulation research and provide advice on transaction execution
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for firm’s reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practice, and escalating, managing and reporting control issues with transparency
- Familiarity with CSRC/Exchanges/SAC rules
- Secure and maintain all necessary CSRC licenses (or any other licenses / qualifications as required) for carrying out securities and other regulated activities
- Preference for HK SFC Type 6 licenses / qualifications
- Solid accounting, legal and financial knowledge, familiar with A-share investment banking transaction process
Job Family Group
Institutional Banking
Job Family
Investment Banking
Time Type
Full time
Most Relevant Skills
Please see the requirements listed above.
Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
Legal Notice
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.
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