Compl Product Sr Officer – Institutional Clients Group (ICG) Electronic Trading NAM/LATAM (SVP) - Hybrid
Serves as an Electronic Trading (ET) product compliance risk officer 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 protects 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 specific Electronic Trading and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance across Electronic Trading (ET) businesses and the associated regulatory rules/laws and interpretation on internal policies and procedures.
Key activities include:
Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs by:
Working with the various groups within ET Risk Management to assess e-trading systems/applications and strategies to help identify risks, provide compliance expertise on conduct assessments and assist 1LOD to implement controls in order to ensure compliance and regulatory risks are understood, managed and controlled.
Being responsible for reviewing and assessing controls regarding regulatory/compliance requirements (e.g. SEC, FINRA, CME and other regulatory rules and regulations), with a focus on technology and electronic trading risks, as well as, assessing and reviewing processes to prevent violations of rule or regulation and design to assess that risk levels are within the firm's risk appetite.
Supporting and challenging the ET businesses in performing timely compliance reviews of marketing material
Providing ET related Training on new and updated Rules and Regulations across ET businesses.
Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on ET regulations on a real-time basis to manage compliance risk.
Staying abreast of relevant changes to ET 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 ET businesses.
Analyzing and scoping the impact of new and complex regulatory developments across ET, including cross-border impact.
Advising ICRM and ET management and personnel on regulatory and compliance issues and provide credible challenge.
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.
Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
Designing and lead compliance and control reviews.
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.
Additional duties as assigned.
Expertise of Compliance laws, rules, regulations, risks and typologies across financial markets (e.g., SEC 15c3-5, Reg NMS, Reg ATS, FINRA Rules, Reg SHO, ET related rules across NAM, etc.)
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work 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
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standard
Advanced knowledge in area of Electronic Trading markets, sales, trading and technology flows.
Strong knowledge of NAM financial markets across ET Sales & Trading
Advanced knowledge of Equities and Fixed Income products relevant ET Algorithmic and order routing requirements across NAM
Required: 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 thereof; 3-5 years of experience in area of Electronic Trading; strong working knowledge of Equity and Fixed Income products across Sales and Trading; related operations and financial requirements
Preferred: Advanced degree (e.g. JD, MBA) a plus, and/or Technology related degrees.
Other Requirements:FINRA licenses, CFA, or technology certifications are desirable.
Job Family Group:Compliance and Control
Job Family:Product Compliance Risk Management
Time Type:Full time
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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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