Compliance Officer (AVP) - Conflicts & Information Barrier Advisory - Research Clearance and Chaperoning

Serves as a compliance officer, specifically relating to research publications & managing conflicts between Banking & Research for the
Independent Compliance Risk Management (ICRM) department. ICRM is responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of laws, rules & regulations. ICRM designs and delivers a risk management framework that maintains risk levels within the firm's risk appetite and protects the firm's franchise. In addition, engages with the ICRM Product, Banking & Research business teams, in order to partner, develop and apply ICRM program solutions that meet the business and Research Department needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day compliance advice to the Investment Banking & Research departments , compliance approvals for research publications, public appearances and non deal roadshows. Compliance oversight of the Global Research Settlement , capital formation policy : chaperoning calls between investment banking and research and interpretation on internal policies and procedures.

Responsibilities:

• Assisting in the design, development, delivery and maintenance of best-in-class compliance, programs, policies and practices for ICRM.
• Providing guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.

• Identifying, evaluating and resolving issues related to the publication of Investment Research product.
• Independently engage with senior Business management and other global functions to resolve complex issues and address the associated Compliance and Regulatory Risks.
• Responding to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.
• Reviewing and approving Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.
• Chaperoning and tracking authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.
• 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 businesses
• Supporting the Research and Investment Banking businesses in performing timely compliance reviews of new products.
• Assisting in the development and administration of Compliance training for the supported
• businesses.
• Researching any new reform rules and rule changes and implementing policies, procedures
• or other controls necessary to comply with the rules.
• Maintain the Firm’s Watch and Restricted List and determining appropriate levels of restrictions and research quiet periods.
• Collaborate with colleagues on a global level and standardize regional practices.
• Provide senior leadership and support to other members of the Research Clearance and Chaperoning team including developing and implementing training programs for new joiners.
• Lead special projects to enhance efficiencies, identify and mitigate risk, and implement technological solutions.
• Additional duties as assigned.

Qualifications:

• Knowledge of applicable compliance laws, rules, regulations, risks and typologies
• Extensive knowledge of FINRA Rules 2241 and 2242,
• US Securities Laws concerning the publication of Research Reports - Rules 138 and 139 safeharbors & Section 5 Risks.
• The Global Research Settlement
• Exposure to Control Room, Conflicts, or Product Compliance roles (Banking or Research) within a financial services firm preferred
• 2 years experience in compliance, legal, or other control-related function in a financial services firm, or a combination thereof preferred
• Demonstrated knowledge in Research Review, Global Research Settlement and Capital Formation issues 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 & in a fast paced environment.
• 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)
• Able to work the assigned shifts of this team as follows: 6:30am - 3:30pm, 9am-5:30pm, 11am-7pm.

Education:

• 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 areas of focus (Control Room/ Investment Banking / Research).
• JD, MBA, relevant certifications, or securities licenses is a plus.

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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.

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