Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects 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 Research, Marketing, and Content businesses and customer needs in a manner consistent with the Citi program framework.

Primary responsibilities include participating in senior business risk and control forums, monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to the Research, Marketing, and Content products and services and the associated regulatory rules/laws and interpretation on internal policies and procedures.

This individual will be responsible for leading the Marketing and Content Compliance program and will play a key role in creating a robust control framework for the newly created Marketing and Content Office, which supports Citi's five businesses shared services for Marketing and Content across Citi. Keys to success will be developing and leveraging strong partnerships with various internal teams, stakeholders, and subject matter experts, such as In Business and Client Risk & Control, Legal, and Product and Marketing owners.

Responsibilities:

• Providing day-to-day Compliance advice relating to the Research, Marketing, and Content products and services and the associated regulatory rules/laws and interpretation on internal policies and procedures;

• Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi’s clients, products and geographies; provides direction and guidance on the programs.

• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.

• Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the business on an ongoing basis on new initiatives, new products, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client-related compliance escalations.

• Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. 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 assigned business.

• Supporting the function/business in performing timely compliance reviews of new products

• Managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts;

• Assisting in the development and administration of Compliance training for the business.

• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the function/business.

• Analyzing and scoping the impact including applicability of new and complex regulatory developments across the function/business, including cross-border impact.

• Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.

• Mentoring and developing junior staff.

• Participating in industry groups and trade association working groups or other forums;

• 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:

• Highly motivated, strong attention to detail, team oriented, organized

• Excellent written, verbal and analytical skills

• Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

• Ability to interact and communicate effectively with senior leaders

• Experience directly/indirectly managing people and/or teams

• Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls

• Experience in the design and implementation of Compliance programs

• Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders

• Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Businesses/Functions

• Experience with and previous exposure to internal or external control functions and regulators

• Ability to challenge Business management and escalate issues when appropriate

• Strong track record of effectively assessing and managing competing priorities

• Comfortable navigating complex, highly-matrixed organizations

• Comfortable acting as an agent for positive change with agility and flexibility

• Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential

• Subject matter expertise in area of focus

• 10-15+ 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

Preferred:

• Working knowledge of compliance laws, rules, regulations, and risks related to financial services marketing and the production of Investment Research (including, but not limited to, FINRA Rules 2210, 2241 and 2242, and the CFTC Research Conflicts Rules)

• Knowledge of relevant global regulations (such as MAR, MiFID and ASIC rules) a plus

• Proficient in MS Office applications (Excel, Word, PowerPoint)

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

Education:

• Bachelor’s degree

• Advanced degree (e.g. JD, MBA) a plus

• Other relevant certifications, or securities licenses a plus

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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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Primary Location:

New York New York United States

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Primary Location Full Time Salary Range:

$170,000.00 - $300,000.00

In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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Anticipated Posting Close Date:

Dec 04, 2024

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