Vice President - Compliance Product Officer - Securities Services
Serves as a Securities Services 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 function/business/product 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 Securities Services and guidance on Securities Services 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, including:
- Raising challenges for business and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks.
- Building and maintaining strong client relationships with front office personnel, business management, control managers, technology departments
- Working proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program
- Designing and delivering training to support compliance with applicable regulatory obligations, the firm's compliance-related policies and procedures and industry best practices.
- Assisting the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions.
- Interacting regularly with colleagues in other lines of business and other regions on regulatory matters and formulating consistent approaches on corporate regulatory policies.
- Providing guidance on rules and regulations relating to Securities Services 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 Securities Services.
- Supporting Securities Services in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supported function/business/product.
- 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.
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- 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
- Relevant certifications desirable
- Bachelor's degree; 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 function/business/product supported and the related operations and financial requirements; Advanced degree preferred
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - HK------------------------------------------------------
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