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Compliance Product Officer - Control Group

Job Req ID 21336457 Primary Location Jersey City, New Jersey Job Category Compliance and Control
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Serves as a Control Group (aka Control Room) 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 Institutional Clients Group (“ICG” or “Firm”) 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 supported function/business/product and guidance on the public/private information barrier (“Information Barrier”) within ICG 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 the Firm’s Information Barrier, as well as, provide transactional approvals and interpretation of internal compliance policies.
    • Providing advice related to Information Barrier issues, such as wall-crossings, Watch and Restricted Trading List, employee public/private designations, physical access controls, information access and sharing.
    • Review and assess banking transactions to maintain the Firm’s Watch and Restricted Trading Lists as required by policy or regulation, and to address potential client conflict of interest.
    • Review and process wall-crossings, review trading requests, manage instances of inadvertent sharing of information.
    • Respond to questions from the business and other functions related to information Barrier and information flow.
    • Perform compliance reviews of adherence to policies and procedures related to Information Barrier.
  • 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 Information Barrier issues which may impact the Firm.
  • Supporting the function/business/product 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 related to ICG Information Barrier and implementing policies, procedures or other controls necessary to comply with the rules.
  • Additional duties as assigned.

Qualifications:

  • Knowledge of Compliance laws, rules, regulations, risks and typologies, including, but not limited to Information Barriers, Global Research Settlement, Banking/Research conflicts of interests rules and regulations
  • 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 including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, Sales and Trading business.
  • Securities licenses or other relevant certifications are a plus

Education:

  • Bachelor’s degree; 4+ years experience in a Control Group or related compliance function, 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 financial services and the related operations and financial requirements

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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:

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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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