Compliance Product Officer - Cash Sales Trading and Equities Trading
New York, NY
Serves as an Equities product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the Equities business and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Equities business and guidance on Equities related rules/laws and interpretation on internal policies and procedures.
The role will report to a Director Level and primary product ICRM officer for Equities located on the Equity Sales and Trading floor in New York City.
Key activities include:
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
- Providing guidance on rules and regulations relating to The Equities business and operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal, BusinessManagement, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the Equities business.
- Supporting the Equities business in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the Equities business.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Provide global trade subject matter expertise to other regions supporting the Equities business.
Conduct certain monitoring functions related to activities of the Equities business.
Additional duties as assigned.
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong written and verbal communication and interpersonal skills
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Ability to both work independently and collaborate with team members
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge in area of focus
Related certifications desirable
Bachelors degree; 3 to 5 years experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of the Equities business and the related operations and financial requirements
MBA or JD a plus
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
Time Type :Full time
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Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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