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Serves as a Research Product Compliance Risk Senior Analyst 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 ICRM program solutions that meet Research product 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 Research product and guidance on function/business/product rules/laws.
Key activities include:
Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices related to the U.S. Citi Research, Citi Global Data Insights, and Access Strategies (the “Business”), including:
Providing compliance support to the Business by providing guidance on relevant rules and regulations relating to operational issues, and the application of internal compliance policies governing day-to-day activities
Assisting in the development and administration of compliance training for the Business
Assisting with regulatory inquiries and/or examinations
Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported business.
Supporting the Business in performing timely compliance reviews of new transactions and/or products
Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
Additional duties as assigned.
Knowledge, Skills and Experience:
Knowledge of Compliance laws, rules, regulations, risks and typologies
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)
Working knowledge of compliance laws, rules, regulations, and risks related to 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
Bachelor’s 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; Advanced degree (e.g. JD, MBA) a plus
Other relevant certifications, or securities licenses a plus
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
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