Compliance Senior Analyst (AVP) - Control Room– Insider Trading

Job Description

Serves as a compliance risk officer for the Control Room within 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 Control Room 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 handling of watchlist, restricted list, wall crossings, information barriers and insider trading / dealing risk, and guidance on related regulatory requirements and internal policies and procedures.

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Responsibilities :

• Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM Control Room.
• Providing guidance on rules and regulations relating to insider dealing risk, 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 supported business lines.
• Supporting the business 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.
• 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 :

• Knowledge of Compliance laws, rules, regulations, risks and typologies - in particular those related to watchlist, restricted list, wall crossings, information barriers and insider trading / dealing preferred.
• 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.
• Relevant certifications desirable.

Education :

Bachelor’s degree or equivalent experience in financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof;

strong working knowledge of businesses supported and the related regulatory requirements; Advanced degree preferred.

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 : $109,120.00 - $163,680.00

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 : Nov 01, 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.

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