Compliance Product Officer – Institutional Clients Group (ICG) Electronic Trading NAM (VP)
Serves as an Electronic Trading (ET) 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, 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 and providing day-to-day Compliance advice relating to the Electronic Trading (ET) businesses and guidance on associated regulatory rules/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 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.
- Providing guidance on rules and regulations relating to Electronic Trading operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- 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 ET business.
- Supporting the ET business in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the ET.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned.
- Knowledge 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.)
- 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 Electronic Trading markets, sales, trading and technology flows.
- Strong knowledge of NAM financial markets across ET Sales & Trading.
- Strong knowledge of Equities and Fixed Income products relevant ET Algorithmic requirements across NAM.
- 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; over 3 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: MBA or JD 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
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