Join the team acting as primary point of contact for the Markets Business in Europe (excluding UK) for Compliance related matters. Handle day to day queries and escalations from Sales and Trading teams on all products.
Serve as a function/business/product compliance risk manager 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, engage with the ICRM product and function coverage teams, in order to partner to develop and apply 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 operations and guidance on the associated regulatory rules/laws and interpretation on internal policies and procedures.
Responsibilities include:
- 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; providing direction and guidance on the programs.
- Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on EU regulations such as MiFID, MAR etc. on a real-time basis to manage compliance risk.
- Providing advice and credible challenge to the Markets business on the management of 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 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.
- Contribute to various governance forums including new activity committee
- 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.
Qualifications:
Required:
- Expertise of Compliance laws, rules, regulations, risks and typologies; in particular those related to market abuse.
- Excellent written, verbal and analytical skills
- Must be a self-starter, flexible, innovative and adaptive;
- Highly motivated, strong attention to detail, team oriented, organized
- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
- 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
- Experience in managing regulatory exams and relationships with examiners, auditors, etc.
- Awareness of regulatory requirements including local and US laws, international and industry standard
Preferred:
- Advanced knowledge in area of focus, including an understanding of the relevant Citi business areas.
Education:
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 unction/business/product and the related operations and financial requirements
Preferred:
- Advanced degree (e.g. JD, MBA) a plus
-
Job Family Group:
Compliance-
Job Family:
Product Compliance Risk Management-
Time Type:
Full time-
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.
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 Citi’s EEO Policy Statement and the Know Your Rights poster.
