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Compliance Product Officer (ICG) Control Group North America (VP)

Job Req ID 21396631 Primary Location Jersey City, New Jersey Job Category Compliance and Control
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Serves as a Control Group compliance risk officer, specifically related to research publication, 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 Institutional Clients Group (ICG) and Research business teams, in order to partner, develop and apply CRM program solutions that meet the ICG 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 relating to ICG and the Research Department and guidance on Research Product, The Global Research Settlement and other capital formation rules, laws and procedures/laws and interpretation on internal policies and procedures.

Key activities include:

  • 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.  This includes:

  • 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 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.

Education & Experience

Required:

4+ years of Control Group, Research Clearance or Product compliance.

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; strong working knowledge of Research ,Investment banking & Capital Markets products and the related operations and financial requirements

Preferred:MBA or JD

Knowledge and Skills

Required:

  • Knowledge of Compliance laws, rules, regulations, risks and typologies

  • Extensive knowledge of FINRA Rule 2241 and 2242, Rules 137, 138 and 139, Section 5, The Global Research Settlement & Jobs Act

  • 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 Research Review, Global Settlement and Capital Formation issues

Preferred:Demonstrated experience in pre-publication research review

Other: Related certifications desirable

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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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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.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. 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.

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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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