Compliance Product Sr Officer - Debt Capital Markets Advisory
Serves as a Banking and Capital Markets Advisory (BCMA) product compliance risk officer for Independent Compliance Risk Management (ICRM) covering business units of Citigroup Global Markets Inc. Responsible for designing and maintaining internal policies, procedures, processes, and programs to prevent violations of law, rule, or regulation, and assisting with designing and delivering a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with other ICRM Product and Function coverage teams, in order to partner, develop and apply Compliance Risk Management (CRM) program solutions that meet the BCMA business and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to the Debt Capital Markets (DCM) and Global Structured Finance business teams and guidance regarding business and product rules and regulations.
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM, including:
- Providing guidance on rules, regulations, policies and procedures and operational matters related to Debt Capital Markets, Global Structured Finance Origination and related businesses and teams.
- Interacting with business staff and management, responding to real-time questions and escalations, as well as working to update and maintain related policies and procedures, including assisting the business in updating written supervisory procedures and the supervisory workstation (SWS) interface.
- Assist with regulatory inquiries and/or examinations.
- Collaborating with other internal areas and control functions, including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact Debt Capital Markets and Global Structured Finance Origination.
- Supporting the business in performing timely compliance reviews of new transactions and/or products.
- Develop and maintain written policy and procedures documents, assist the business in the identification of best practices and implementation of required and improved processes, provide leadership in the identification and development and administration of Compliance training for relevant BCMA business teams.
- Researching any rules and rule changes and assisting the business with implementation of policies, procedures or other controls necessary to comply with the rules/regulations
- Additional Duties as assigned
- Expertise of Compliance laws, rules, regulations, risks and typologies;
- 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 focus
- Related certifications desirable
- 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; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus
- Advanced degree (e.g. JD, MBA) and/or FINRA licensing a plus
- Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product
- Excellent written and verbal communication skills
- 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
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus (i.e., Corporate Relations; DCM and/or Investment Banking Origination.)
Job Family Group:Compliance and Control
Job Family:Product Compliance Risk Management
Time Type:Full time
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