Compliance Product Senior Analyst- Control Group
Jersey City, NJ
Serves as a Research Clearance and Chaperoning compliance risk senior analyst within the Control Group (aka Control Room) 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 Institutional Clients Group (ICG) 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 publication of investment Research product authored by the Research business and guidance on the associated regulatory rules/laws.
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 Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.
- Identifying, evaluating and resolving issues related to the publication of investment Research product.
- Responding to questions from Research analysts, Research management and investment bankers regarding issues related to Research product.
- Reviewing and approving Research analysts requests to make public appearances.
- Chaperoning and tracking authorized discussions between research analysts and investment bankers.
- Assist with regulatory inquiries and/or examinations.
- 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 supported function/business/product.
- Supporting the business in performing timely compliance reviews of new transactions and/or products.
- Assisting in the development and administration of Compliance training for the Research business.
- Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
- Additional duties as assigned.
- Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product
- Excellent written and verbal communication skills
- 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
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
- Relevant certifications desirable
- Bachelors degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus;
- Preferred:Advanced degree (e.g. JD, MBA) a plus; exposure to Control Group, Research Clearance and Chaperoning, or Product Compliance roles within a financial services firm a plus; 1-2 years experience in compliance, legal or other control-related function in a financial services firm, regulatory organization, or legal/consulting firm, or a combination
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
Time Type :Full time
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