Research, Marketing, and Content Compliance Product Officer - Vice President

Serves as a product 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, the role actively engages with the ICRM Control Group function and the BCMA Product coverage compliance teams, in order to partner to develop and apply CRM program solutions 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 Research, Marketing, and Content businesses and providing guidance on rules/laws and interpretation on internal policies and procedures. This individual will work directly with the EMEA Research Compliance Product Director and be part of the Global Research, Marketing, and Content Compliance team.

Responsibilities 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, Marketing, and Content operational issues and interpretation of internal compliance policies.
• Supporting the Research, Marketing, and Content businesses in performing timely compliance reviews of new products.
• Assisting in the development and administration of Compliance training for the Research, Marketing, and Content businesses
• Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on Research impacted regulations on a real-time basis to manage compliance risk, including acting as a a primary escalation point for the team’s activities. 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 Research business and and implementing policies, procedures or other controls necessary to comply with the rules.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
• 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.
• Assist in managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• 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:

• Awareness of regulatory requirements including local and US laws, international and industry standards; in particular those related to insider trading, research independence, and conflicts of interest (e.g., MIFID II, MAR, FINRA 2241/2242, etc.)
• Highly motivated, strong attention to detail, team oriented, organized
• Must be a self-starter, flexible, innovative and adaptive
• Ability to both work independently and 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
• Strong written and verbal communication and interpersonal skills
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Demonstrated knowledge in area of focus

Education and/or relevant experience(s):

• Required: Bachelor’s degree; experience in compliance, legal or other control-related function at a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; working knowledge of Research Compliance responsibilities
• Preferred:Advanced degree (e.g. JD, MBA) a plus; Time in role as a Research Compliance officer

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