Cash Equities Compliance Product Officer - Vice President

Serves as a function/business/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 function/business/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 supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures.

Responsibilities:

• 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 function/business/product operational issues, as well as providing transactional approvals and interpretation of internal compliance policies.
• Assisting with regulatory inquiries and/or examinations, including coordination with regulators and other parties.
• 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 function/business/product.
• Supporting the function/business/product in performing timely compliance reviews of new products.
• Assisting in the development and administration of Compliance training for the supported function/business/product.
• Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
• Appropriately assessing 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.

Qualifications:

• 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.
• 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).

Education:

• 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; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred.

Job Family Group: Compliance and Control

Job Family: Product Compliance Risk Management

Time Type: Full time

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.