Citigroup Inc
Compliance Product Sr Officer I (SVP) - Transaction Conflicts Advisory
Citigroup Inc, Jersey City, New Jersey, United States, 07390
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. . 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.
Responsibilities:
Provide guidance and support to facilitate conflict clearance processEvaluate and review potential transactions to ensure all relevant information is reviewedServe as Conflict Clearance team's primary contactCommunicate with legal and Business Selection to ensure timely and accurate clearancesAnalyze firm's touchpoints to determine potential conflicts of interestMake recommendations for enhancements to improve overall deliverablesDesigning, 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.Analysing 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.Additional duties as assigned.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.Qualifications:
Expertise of Compliance laws, rules, regulations, risks and typologies;Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making strongly preferredExperience working in a Control Group setting that covered Investment Banking transactions strongly preferredExcellent written, verbal and analytical skillsMust be a self-starter, flexible, innovative and adaptive;Highly motivated, strong attention to detail, team oriented, organizedStrong presentation skills with the ability to articulate complex problems and solutions through concise and clear messagingAbility 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 levelExperience in managing regulatory exams and relationships with examiners, auditors, etc.Awareness of regulatory requirements including local and US laws, international and industry standardAdvanced knowledge in area of focusRelated certifications desirableEducation:
Bachelor's degree or equivalent 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; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus
Job Family Group:Compliance and Control
Job Family:Product Compliance Risk Management
Time Type:Full time
Primary Location:Jersey City New Jersey United States
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.
Anticipated Posting Close Date:Sep 27, 2024
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.
Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review
Accessibility at Citi .
View the " EEO is the Law " poster. View the
EEO is the Law Supplement .
View the
EEO Policy Statement .
View the
Pay Transparency Posting
Responsibilities:
Provide guidance and support to facilitate conflict clearance processEvaluate and review potential transactions to ensure all relevant information is reviewedServe as Conflict Clearance team's primary contactCommunicate with legal and Business Selection to ensure timely and accurate clearancesAnalyze firm's touchpoints to determine potential conflicts of interestMake recommendations for enhancements to improve overall deliverablesDesigning, 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.Analysing 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.Additional duties as assigned.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.Qualifications:
Expertise of Compliance laws, rules, regulations, risks and typologies;Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making strongly preferredExperience working in a Control Group setting that covered Investment Banking transactions strongly preferredExcellent written, verbal and analytical skillsMust be a self-starter, flexible, innovative and adaptive;Highly motivated, strong attention to detail, team oriented, organizedStrong presentation skills with the ability to articulate complex problems and solutions through concise and clear messagingAbility 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 levelExperience in managing regulatory exams and relationships with examiners, auditors, etc.Awareness of regulatory requirements including local and US laws, international and industry standardAdvanced knowledge in area of focusRelated certifications desirableEducation:
Bachelor's degree or equivalent 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; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus
Job Family Group:Compliance and Control
Job Family:Product Compliance Risk Management
Time Type:Full time
Primary Location:Jersey City New Jersey United States
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.
Anticipated Posting Close Date:Sep 27, 2024
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.
Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review
Accessibility at Citi .
View the " EEO is the Law " poster. View the
EEO is the Law Supplement .
View the
EEO Policy Statement .
View the
Pay Transparency Posting