Compliance Officer- General
Citi is today's pre-eminent financial services company and was built to create a highly diversified financial services company that could act as one to deliver solutions to clients throughout the world. With the most diverse array of products and the greatest distribution capacity of any financial firm in the world, our employees manage 200 million customer accounts across six continents in more than 100 countries.
Citigroup Inc. and its subsidiaries ("Citigroup") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic.
There are regulatory requirements and Citi policy standards associated with a) the review and supervision of electronic communications, b) a Regulatory Control Matrix reflecting key rules and the mitigating controls and monitoring in place to address them, and c) mandatory leave for people in sensitive positions in order for the firm to safeguard against potential fraud.
This position will support senior staff with a variety of regulatory compliance matters including electronic communications work involving the E-Mail Supervisory System, the migration of key regulations into the new Citi repository being developed in order to enhance our regulatory control matrix program, and the implementation of various projects including the testing and support work associated with our Mandatory Absence Policy. In addition, due to the limited number of analysts in this department, this position will help provide needed back-up for other functions through cross-training.
Specific responsibilities will include:
- Migrating key regulations into the new Metric Stream Repository for the Regulatory Control Matrix (RCM) and partnering with Compliance and business colleagues to populate data, as needed
- Data analysis of information from the E-Mail Supervisory System in order to reduce the number of false positives and have more targeted messages flag for supervisory review relative to the collective Citi Retail Investment businesses
- Coordination with Technology for requests of evidence of supervisory review from regulators and internal control departments
- Documenting and executing user acceptance testing for modifications/requests to the E-Mail Supervisory System and for the monitoring tool being developed to support the mandatory absence policy
- Coordination and implementation of monitoring of mandatory absence policy adherence for the Wealth Management business
The candidate must:
- Have a strong compliance and/or project management background
- Have retail brokerage knowledge
- Be extremely detail-oriented and demonstrate analytical and problem solving skills in an ever changing environment
- Foster a sense of collaboration and work effectively with partners across the organization
- Be able to create and execute Compliance user acceptance testing
Qualities to succeed in this role include:
- Strong analytical skills to make sound decisions that reflect good judgment
- A passion for driving results
- Superb attention to detail and willingness to "roll up sleeves"
- Demonstration of strong change agility and manage execution skills
- Must be able to perform well under pressure and meet strict deadlines
- Self motivated/self-starter who can take initiative and work independently with limited supervision, and can step in to support
- Detail-oriented
- Ability to manage projects independently and concurrently
- 4 year college degree required and 5+ years of Compliance or project management experience
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