Global Functions - Compliance Product Senior Officer (Equities) - Senior Vice President

Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.

Serves as a Product compliance risk 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 Compliance Risk Management (CRM) program solutions that meet the product 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 operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.

Key activities include:

1. Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
2. 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.
3. Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.
4. 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.
5. Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
6. 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.
7. 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.
8. Participating in industry groups and trade association working groups or other forums.
9. 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.
10. Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
11. Designing and lead compliance and control reviews.
12. Additional duties as assigned.

Knowledge and skills:

1. Expertise of Compliance laws, rules, regulations, risks and typologies
2. Excellent written, verbal and analytical skills
3. Must be a self-starter, flexible, innovative and adaptive
4. Highly motivated, strong attention to detail, team oriented, organized
5. Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
6. 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
7. Experience in managing regulatory exams and relationships with examiners, auditors, etc.
8. Awareness of regulatory requirements including local and United States (US) laws, international and industry standard
9. Advanced knowledge in area of focus

Education:

1. Required: 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; strong working knowledge of function/business/product and the related operations and financial requirements.

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. 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.