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Compl Product Intmd Assoc Analyst - Personal Trading & Outside Activities Compliance Analyst

Company: Citi
Location: Corfu
Posted on: February 24, 2021

Job Description:

Serves as a Personal Trading & Outside Activities compliance risk 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 business 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 businesses and guidance on Citi's policies covering personal trading and outside activities.Responsibilities:

  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
  • Assisting 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 the supported function/business/product.
  • Preparing, editing and maintaining Compliance program related materials
  • Assisting in the development and administration of Compliance training for the supported function/business/product.
  • Researching rules and rule changes and assisting in implementing policies, procedures or other controls necessary to comply with the rules/regulations.
  • Additional duties as assigned
  • 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.Qualifications:
    • Knowledge of Compliance laws, rules, regulations (FINRA 3210, 3270, 3280), risks (conflicts of interest) and typologies
    • 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
    • Strong project management and organizational skills and capability to handle multiple projects at one time
    • Proficient in MS Office applications (Excel, Word, PowerPoint)
    • Strong interpersonal skills for interfacing with all levels of internal and external audit and management
    • Some knowledge in area of focusEducation/Experience:
      • Bachelor's degree; 1-3 years experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof ; Advanced degree preferred-------------------------------------------------Job Family Group: Compliance and Control-------------------------------------------------Job Family:Product Compliance Risk Management------------------------------------------------------Time Type:Full time------------------------------------------------------Citi is an equal opportunity and affirmative action employer.Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.Citigroup Inc. and its subsidiaries ("Citi-) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review .View the "" poster. View the .View the .View the

Keywords: Citi, Buffalo , Compl Product Intmd Assoc Analyst - Personal Trading & Outside Activities Compliance Analyst, Professions , Corfu, New York

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