Serves as a product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for supporting the review of marketing materials and client communications for Citi Private Bank (CPB) NAM, CPB Offshore LATAM, Global and Product business lines and 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 CPB ICRM coverage teams (as needed), in order to partner to develop and apply CRM program solutions that meet the CPB 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 and guidance relating to communications with the public and interpretation on internal policies and procedures.
Responsibilities:
• 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 communications with the public, related operational issues, as well as, provide 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 communications with the public.
• Supporting the function/business/product in performing timely compliance reviews of new products, particularly marketing materials related to new products.
• Assisting in the development and administration of Compliance training for Citi policies and regulations related to communications with the public.
• 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.
Qualifications:
• Knowledge of Compliance laws, rules, regulations, risks and typologies, including FINRA and SEC regulation dealing with communications with the public.
• 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 advanced knowledge in area investment products and communications with the public rules and regulations
Education:
Bachelor’s degree; at least 8 years of 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 FINRA and SEC regulation dealing with communications with the public.  Knowledge of various products including regulatory review of alternatives investments, structured products, investment advisory, and capital markets and the related operations and financial requirements.
Preferred: Prior Private Bank or Wealth Management compliance or regulatory experience is a plus. Series 7 and 24 licensing preferred ​
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Job Family Group:
Compliance and Control
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Job Family:
Product Compliance Risk Management
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Time Type:
Full time
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Job Type: Full time