Location: New York,NY, USA
Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing 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 ICRM program solutions that meet the Research, Marketing, and Content businesses and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to the Research, Marketing, and Content products and services and the associated regulatory rules/laws and interpretation on internal policies and procedures.
This individual will also play a key role in creating a robust control framework for the newly created Marketing and Content Office, which supports Citi's five businesses shared services for Marketing and Content across Citi. Keys to success will be developing and leveraging strong partnerships with various internal teams, stakeholders, and subject matter experts, such as In Business and Client Risk & Control, Legal, and Product and Marketing owners.
Responsibilities include:
* Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.
* Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
* Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
* Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product.
* Analyzing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.
* Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
* Participating in industry groups and trade association working groups or other forums.
* Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
* Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
* Designing and lead compliance and control reviews.
* Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.
* Appropriately assess risk when business decisions are made, demonstrating particular consideration for the 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 practices, and escalating, managing and reporting control issues with transparency.
* Additional duties as assigned.
Qualifications:
* Expertise in Compliance laws, rules, regulations, risks and typologies;
* Excellent written, verbal and analytical skills
* Must be a self-starter, flexible, innovative and adaptive;
* Highly motivated, strong attention to detail, team oriented, organized
* Excellent project management and organizational skills, and capability to handle multiple projects at one time
* Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
* Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
* Experience in managing regulatory exams and relationships with examiners, auditors, etc.
* Awareness of regulatory requirements including local and US laws, international and industry standard
* Advanced knowledge in area of focus
* 6-10+ 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
Preferred:
* Working knowledge of compliance laws, rules, regulations, and risks related to financial services marketing and the production of Investment Research (including, but not limited to, FINRA Rules 2210, 2241 and 2242, and the CFTC Research Conflicts Rules)
* Knowledge of relevant global regulations (such as MAR, MiFID and ASIC rules) a plus
* Proficient in MS Office applications (Excel, Word, PowerPoint
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
Education:
* Bachelor's degree
* Advanced degree (e.g. JD, MBA) a plus
* Other relevant certifications, or securities licenses a plus
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Job Family Group:
Compliance and Control
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Job Family:
Product Compliance Risk Management
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Time Type:
Full time
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Primary Location:
New York New York United States
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Primary Location Full Time Salary Range:
$176,720.00 - $265,080.00
In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
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Anticipated Posting Close Date:
Nov 24, 2024
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Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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