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Compliance Product Officer - ICG Equity Derivatives

Posted on Jan 24, 2019 by Citi-US

New York, NY 10001
Legal
11 Dec 2018
Annual Salary
Full-Time
  • Primary Location: United States,New York,New York
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID:


Description

About Citi
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.

Citi's Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients' and the public's trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.

Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

Serves as an Equity Derivatives 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 Equity Derivatives business 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 Equity Derivatives business and guidance on Equity Derivatives related rules/laws and interpretation on internal policies and procedures.

The role will report to a Director Level and primary product ICRM officer for Equity Derivatives located on the Equity Sales and Trading floor in New York City.

Key activities include:
  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Provide global trade subject matter expertise to other regions supporting the Equity Derivatives business.
  • Conduct certain monitoring functions related to activities of the Equity Derivatives business.
  • Providing guidance on rules and regulations relating to The Equity Derivatives business and operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
  • Assisting with regulatory inquiries and/or examinations. This may include 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 Equity Derivatives business.
  • Supporting the Equity Derivatives business in performing timely compliance reviews of new products.
  • Assisting in the development and administration of Compliance training for the Equity Derivatives business.
  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
  • Additional duties as assigned.


Qualifications

Required:
Bachelor's degree; 5+ 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; strong working knowledge of the Equity Derivatives business and the related operations and financial requirements

Preferred: MBA or JD a plus

Required:
  • 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
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • 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)
  • Demonstrated knowledge in area of focus

Other:
  • Related certifications desirable
Compliance Product Officer - ICG Equity Derivatives

Reference: 624955305