Compl Product Intmd Analyst – Institutional Clients Group (ICG) Registration and Licensing (Analyst)

Serves as a Registration and Licensing compliance risk analyst 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 Registration 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 the supported Registration function and guidance on Registration rules/laws.

Key Activities include:

• Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
  • Participate in development of technology enhancement initiatives and testing
  • Preparation of control reports and ad hoc reports as well as ongoing data analysis to support regulatory initiatives, new implementations, and department projects
  • Assist in management of FINRA Associated Person designation, including through the CONCEPTS system
• Assisting with regulatory inquiries and/or examinations.
• 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 supported function/business/product.
• Preparing, editing and maintaining Compliance program related materials. Assisting in the development and administration of Compliance training for the supported function/business/product.
• Researching rules and rule changes and assisting in implementing policies, procedures or other controls necessary to comply with the rules/regulations.
• Additional duties as assigned.

Education Level and/or relevant experience:

Required:

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; 2-5 years’ experience

Preferred: Experience in compliance risk management

Knowledge & Skills:

• Knowledge of compliance laws, rules, regulations, risks and typologies
• Excellent written and verbal communication skills
• Keen attention to detail
• Must be a self-starter, flexible, innovative and adaptive
• Strong interpersonal skills with the ability to work collaboratively

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