Compliance Product Officer - Markets/Swap Dealers - New York

Compensation

: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time

Industry

: Legal



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Serves as a Swap Dealer/Broker-Dealer 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 Swap Dealer/Broker-Dealer 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 supported Swap Dealer/Broker-Dealer and guidance on Swap Dealer/Broker-Dealer rules/laws and interpretation on internal policies and procedures

Responsibilities:

  • Assisting in the design, development, delivery and maintenance of best-in-class Swap Dealer and Broker-Dealer Compliance, programs, policies and practices for ICRM, such as:
  • supporting compliance risk management activities for multiple business lines, functions and legal entities, globally, in relation to compliance with Swap Dealer and Broker-Dealer regulations;
  • coordinating Swap Dealer and Broker-Dealer program governance (e.g., Swap Dealer Governing Body, Governing Body Subcommittee, CGMI Risk Compliance & Control Committee); and
  • implementing/executing regulatory requirements applicable to Chief Compliance Officers and compliance programs.
  • Providing guidance on rules and regulations relating to Swap Dealer and Broker-Dealer 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 supported Swap Dealer or Broker-Dealer.
  • Assisting in the development and administration of Compliance training for the supported function/business/product.
  • Researching any new reform rules and rule changes 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.
  • Supporting the Swap Dealer/Broker-Dealer in performing timely compliance reviews of new products.
  • Additional duties as assigned.
  • Qualifications:

  • Knowledge of Compliance laws, rules, regulations, risks and typologies applicable to Swap Dealer and Broker-Dealers
  • 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 focus
  • Relevant certifications desirable
  • Education:

  • 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; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred
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    Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US

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    Time Type :Full time

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    Citi is an equal opportunity and affirmative action employer.
    Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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    Associated topics: attorney corporate, company, compliance department, corporate attorney, courtroom, lawyer, legal affairs, legal department, llp, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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