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The health and safety of our colleagues and candidates for employment are our highest priority. Accordingly, Citi continues to monitor the COVID-19 situation closely. We have implemented precautionary measures across our firm globally, including conducting all candidate interviews virtually on a temporary basis until further notice where needed.

Compliance Risk Management Intermediate Associate Analyst - Hybrid

Job Req ID 22561195 Primary Location Getzville, New York Job Category Compliance and Control
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Serves as a compliance risk analyst 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 CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.

Key responsibilities include:

  • Supporting the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Reviewing various materials to ensure compliance with various regulatory and legal requirements.  Identifies potential risks and escalates for further review.
  • Identifying potential risks and escalating for further review, as required.
  • Creating and maintaining reports for control, tracking, and analysis purposes and ensures appropriate and secure retention of documents.
  • Working with more senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
  • Interacting and working with other areas within ICRM, as necessary.
  • Coordinating and tracking policy, training, and other compliance risk management initiatives.
  • Assisting in the preparation, editing and maintenance of Compliance program related materials

Knowledge and skills

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Excellent written and verbal communication skills
  • 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 project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Exceptionally strong attention to detail, organizational skills, and thorough follow-through
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and management
  • Some knowledge in area of focus
  • Understanding of securities, investment adviser and/or insurance industry highly desirable
  • Experience in a registration/licensing function of a broker/dealer and/or insurance agency desirable

Education:

  • Bachelor’s degree or equivalent experience.
  • Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination
  • Advanced degree (e.g. JD, MBA) preferred

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Job Family Group:

Compliance and Control

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Job Family:

Product Compliance Risk Management

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Time Type:

Full time

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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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View the EEO Policy Statement.

View the Pay Transparency Posting

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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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