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Research, Marketing, and Content Compliance Product Officer - Vice President

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Citi

2mo ago

  • Job
    Full-time
    Expert Level
  • Legal
  • London

AI generated summary

  • You must have regulatory knowledge, attention to detail, strong communication skills, project management experience, and a background in compliance or legal within financial services. Bachelor's required; advanced degree preferred.
  • You will design compliance programs, guide on regulations, conduct reviews, oversee training, assess risk, monitor regulatory changes, manage projects, and collaborate across teams for compliance culture.

Requirements

  • Awareness of regulatory requirements including local and US laws, international and industry standards; in particular those related to insider trading, research independence, and conflicts of interest (e.g., MIFID II, MAR, FINRA 2241/2242, etc.)
  • Highly motivated, strong attention to detail, team oriented, organized
  • Must be a self-starter, flexible, innovative and adaptive
  • Ability to both work independently and collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Strong written and verbal communication and interpersonal skills
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Demonstrated knowledge in area of focus
  • Required: Bachelor’s degree; experience in compliance, legal or other control-related function at a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; working knowledge of Research Compliance responsibilities
  • Preferred: Advanced degree (e.g. JD, MBA) a plus; Time in role as a Research Compliance officer

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 Research, Marketing, and Content operational issues and interpretation of internal compliance policies.
  • Supporting the Research, Marketing, and Content businesses in performing timely compliance reviews of new products.
  • Assisting in the development and administration of Compliance training for the Research, Marketing, and Content businesses.
  • Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on Research impacted regulations on a real-time basis to manage compliance risk, including acting as a primary escalation point for the team’s activities. Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
  • Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the Research business and implementing policies, procedures or other controls necessary to comply with the rules.
  • 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.
  • Participating in industry groups and trade association working groups or other forums.
  • Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
  • Assist in managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
  • Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

FAQs

What is the primary responsibility of the Research, Marketing, and Content Compliance Product Officer?

The primary responsibility is to serve as a product compliance risk officer for Independent Compliance Risk Management (ICRM), assisting in the development of strategies, policies, and programs to prevent violations of law and maintain compliance risk levels within the firm's risk appetite.

What qualifications are required for this role?

A Bachelor’s degree is required, along with experience in compliance, legal, or other control-related functions at a financial services firm, regulatory organization, or legal/consulting firm.

What kind of experience is preferred for candidates?

An advanced degree (e.g., JD, MBA) is preferred, as well as time spent in a role specifically as a Research Compliance officer.

What regulatory knowledge is necessary for this position?

Awareness of regulatory requirements including local and US laws, international and industry standards related to insider trading, research independence, and conflicts of interest is necessary, particularly laws such as MIFID II, MAR, and FINRA 2241/2242.

Will the officer be involved in training?

Yes, one of the responsibilities includes assisting in the development and administration of Compliance training for the Research, Marketing, and Content businesses.

What skills are emphasized for success in this role?

Strong written and verbal communication, interpersonal skills, project management capabilities, and attention to detail are emphasized as key skills for success in this role.

Is experience in managing regulatory examinations important?

Yes, experience in managing regulatory exams and relationships with examiners and auditors is important for this position.

Who will the Compliance Product Officer work closely with?

The officer will work closely with the EMEA Research Compliance Product Director and be part of the Global Research, Marketing, and Content Compliance team.

How does this role contribute to risk management?

This role contributes to risk management by assessing compliance risks during business decisions, driving adherence to applicable laws, and implementing policies and controls necessary for compliance.

Does this position require teamwork?

Yes, the position requires both independent work and collaboration with regional and global partners across various functional units.

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Citi

Finance
Industry
10,001+
Employees
1998
Founded Year

Mission & Purpose

Citigroup Inc. or Citi is an American multinational investment bank and financial services corporation headquartered in New York City. Citi's operation is to provide financial services that enable growth and economic progress. Core activities are safeguarding assets, lending money, making payments and accessing the capital markets.

Benefits

  • Live Well, Stay Healthy

    Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.

  • Paid parental leave

    We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That’s why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world.

  • Save well, for now and your future

    We empower our employees to manage their financial well-being and help them plan for the future.

  • Keep learning

    Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.

  • Be well, take time off

    We have a variety of programs that help employees balance their work and life, including generous paid time off packages.

  • Support Your Community

    We offer our employees resources and tools to volunteer in the communities in which they live and work. In 2019, Citi employee volunteers contributed more than 1 million volunteer hours around the world.