Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
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The Compliance Product Officer - ICG Fixed Income role serves as a Credit Markets and Capital Markets Origination ("CMO") 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 Credit Markets and CMO businesses 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 Credit/CMO and guidance on Credit/CMO rules/laws and interpretation on internal policies and procedures
Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
Providing guidance on rules and regulations relating to Credit/CMO 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 function/business/product.
Supporting Credit/CMO in performing timely compliance reviews of new products.
Assisting in the development and administration of Compliance training for Credit/CMO.
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.
Bachelor's degree; MBA or JD a plus
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 Credit/CMO and the related operations and financial requirements
Past or current compliance work experience with institutional fixed income products, swaps/derivatives, and debt capital markets desired
FINRA registrations (e.g. Series 7, 63, 24, 79) desirable
Skills and Competencies
Knowledge of Compliance laws, rules, regulations, risks and typologies
Knowledge of FINRA and SEC Regulatory rules relating to fixed income securities (e.g. TRACE reporting rules)
Knowledge of Dodd-Frank Swaps regulations and related CFTC rules
Knowledge of fixed income market structure and trading conventions
Knowledge of bank regulatory rules/regulations
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
Internal Number: 4957643
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