Full Job Description
Serves as a BCMA ECM Syndicate and Banking Origination product compliance risk senior analyst 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 function/business/product 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 BCMA-ECM and SETG-SES and guidance on function/business/product rules/laws.
This role will report to a Director level and primary product ICRM officer for BCMA-ECM and SETG-SES located in New York.
Key activities include:
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 issues related to Equity Capital Markets Syndicate, Origination, Special Equities Transactions and Structured Equity Solutions 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 written supervisory procedures and supervisory workstation (SWS) interface.
Assist with regulatory inquiries and/or examinations.
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 BCMA-ECM and SETG-SES.
Supporting the business in performing timely compliance reviews of new transactions and/or products, including assisting the business in conducting, monitoring and/or documenting due diligence reviews of restricted stock sales, e.g., conducted under Rule 144.
Assisting in the development of policies, standards and procedures and development and administration of Compliance training for the supported function/business/product.
Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
Additional duties as assigned.
KNOWLEDGE, SKILLS AND EXPERIENCE
and/or relevant experience(s)
Bachelor’s degree; experience in compliance, legal or other control-related function in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus (i.e., Equity Capital Markets and Investment Banking Origination).
Preferred: Advanced degree (e.g. JD, MBA) and/or FINRA licensing a plus
Knowledge and skills
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., Equity Capital Markets and Investment Banking Origination.)
Other: Relevant certifications desirable
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
Time Type :Full time
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