Ethics Office Coordinator jobs at Citi Group in United States, Houston

Ethics Intake Analyst

Approximately 1,200 in-house attorneys and an additional 280 staff are assigned to support global products, regions and global programs with a focus on key areas of legal risk and key legal entities.

The Legal Support Associate Officer is a non- attorney role that requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business.

Responsibilities:
• Processing concerns and sending matters to the appropriate Ethics Office personnel.
• Capturing detailed process information via the Ethics Office’s case management system
• Performing internal controls as needed.
• Developing reports/charts/analysis to highlight trends, correlations, and key issues.
• Supporting technology enhancements to Ethics Office systems.
• Assist with other Ethics Office initiatives as needed.
• 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:

Bachelors/University degree or equivalent experience.
• 5-7 years of relevant experience is required.
• Advanced Excel preferred. Skilled in VLOOKUP and other advanced formula development, Pivot Table generation and Pivot reporting and formatting. Data analysis, automation and/or Business Intelligence tools a plus.
• Experience with Cognos strongly preferred.
• Excellent written and verbal communication skills.
• Work collaboratively with regional and global personnel within the Ethics Office and key business partners; ability to navigate a complex organization.
• Excellent project management and organizational skills and capability to handle multiple projects at one time.

Anticipated Posting Close Date:

Based in Tampa or Irving, the Ethics Lead Officer will report to an Ethics Sr Group Manager in Citi’s Ethics Office and ultimately to Citi’s Ethics Executive Group Manager. This position will be responsible for the effective oversight of ethics-related investigations and/or supporting the development, administration, and advancement of Citi’s global Code of Conduct, Code of Conduct training, other ethics trainings, and Ethics Office communications, as well as in the review of Citi-level and other Citi policies, procedures, and standards.

Responsibilities:

• Evaluate concerns reported to the Ethics Office with a demonstrated understanding of inherent risks presented in the structure of a global financial services company in a dynamic regulatory environment.
• Determine the handling and assignment of matters to the appropriate investigative partners (Employee Relations, Legal, Citi Security and Investigative Services).
• Establish strong relationships to effectively advise on and oversee the investigation of matters reported to the Ethics Office, including providing independent credible challenge and timely, thoughtful guidance to investigative partners in Employee Relations, Legal, and Citi Security and Investigative Services.
• Effectively handle a portfolio of matters, including prioritizing numerous matters simultaneously in a fast-paced environment.
• Utilize critical thinking skills to prepare accurate and concise written closure summaries.
• Contribute to the preparation and analysis of reports to be distributed to business committees, senior management, auditors and regulators.
• Contribute to accurate responses to ad-hoc requests for information regarding Ethics Office matters from internal and external stakeholders, including assisting in responses to relevant regulatory authorities, while preserving confidentiality obligations.
• Evaluate new laws, regulations, and policies in jurisdictions around the world that may affect Ethics Office operations and make recommendations for any required operational changes.
• Assist with other Ethics Office initiatives as needed, including assisting with presentations and other engagements with investigative partners, stakeholders, and the general employee population.
• Stay abreast of relevant Citi business and function developments in order to effectively carry out responsibilities.
• Understand and apply Citi’s business priorities and contribute to change to support an agile Ethics Office process.
• Additional duties as assigned.
• Assist with the appropriate assessment of 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 policies, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• 6-10 years of legal, investigations, or regulatory experience, including familiarity with the global financial services industry and products.
• Excellent analytical skills, sound judgment, discretion, attention to detail, and an understanding of business processes.
• Excellent written and verbal communication and presentation skills with the ability to articulate complex problems and solutions, including the evaluation of the sufficiency of internal investigations, through concise and clear messaging to internal stakeholders and senior leaders.
• Ability to manage complex documentation with strong organizational skills and attention todetail.
• Ability to work collaboratively with internal partners, navigate a dynamic and complex organization, and influence and lead people across cultures.
• Ability to learn and use relevant technology tools, including case management systems, and basic knowledge of Microsoft Excel and PowerPoint.
• Must be a highly motivated, organized, team-oriented self-starter with the ability to work independently.

Education:

• Bachelor’s degree, potentially Master’s degree, or equivalent experience
• Demonstrated proficiency with legal writing required
• JD or equivalent education a plus

Anticipated Posting Close Date:

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Responsibilities:

• Provide analytical and administrative support to Front Office Sales and Trading specifically around derivatives and securities transactions

• Maintain position records in coordination with the traditional trading desk assistant and / or trade processing functions

• Support trade capture management, Front to Back reconciliation, identifying operational risk, trade confirmation and settlement forecasts

• Utilise data analysis tools and methodologies to make recommendations to senior management to support process improvement

• Design and analyse complex reports to support/control activities and make recommendations based on identified trends and facts

• Interpret data and recommend the launch of new products/ services or upgraded platforms that support pre-settlement processes and transaction capture functions

• Minimise bank risk, and provide solutions to reduce errors, and ensure adherence to audit and control policies

• Manage, escalate and resolve all requests / inquiries / issues / errors and identify policy gaps and formulate policies to streamline processes • Provide informal guidance and/or on-the-job-training to new team members

• Qualifications:

• 2-5 years of experience in a related role

• An understanding of Commodity products preferred

• Demonstrated project management skills

• Ability to work under pressure and manage to deadlines

• Ability to work in a fast-paced environment

• Consistently demonstrates clear and concise written and verbal communication

• Attention to detail and problem solving skills Education:

• Bachelor’s degree/University degree or equivalent experience preferred

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

Anticipated Posting Close Date:

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Based in Irving or Tampa, the Ethics Lead Officer will report to an Ethics Sr Group Manager in Citi’s Ethics Office and ultimately to Citi’s Ethics Executive Group Manager. This position will be responsible for the effective oversight of ethics-related investigations in Banking, Markets, Services, and Client, as well as matters in Asia South, Europe, the UK, JANA, and MEA.

Responsibilities:

• Evaluate concerns reported to the Ethics Office with a demonstrated understanding of inherent risks presented in the structure of a global financial services company in a dynamic regulatory environment.
• Determine the handling and assignment of matters to the appropriate investigative partners (Employee Relations, Legal, Citi Security and Investigative Services).
• Establish strong relationships to effectively advise on and oversee the investigation of matters reported to the Ethics Office, including providing independent credible challenge and timely, thoughtful guidance to investigative partners in Employee Relations, Legal, and Citi Security and Investigative Services.
• Effectively handle a portfolio of matters, including prioritizing numerous matters simultaneously in a fast-paced environment.
• Utilize critical thinking skills to prepare accurate and concise written closure summaries.
• Contribute to the preparation and analysis of reports to be distributed to business committees, senior management, auditors and regulators.
• Contribute to accurate responses to ad-hoc requests for information regarding Ethics Office matters from internal and external stakeholders, including assisting in responses to relevant regulatory authorities, while preserving confidentiality obligations.
• Evaluate new laws, regulations, and policies in jurisdictions around the world that may affect Ethics Office operations and make recommendations for any required operational changes.
• Assist with other Ethics Office initiatives as needed, including assisting with presentations and other engagements with investigative partners, stakeholders, and the general employee population.
• Stay abreast of relevant Citi business and function developments in order to effectively carry out responsibilities.
• Understand and apply Citi’s business priorities and contribute to change to support an agile Ethics Office process.
• Additional duties as assigned.
• Assist with the appropriate assessment of 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 policies, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• 6-10 years of legal, investigations, or regulatory experience, including familiarity with the global financial services industry and products.
• Excellent analytical skills, sound judgment, discretion, attention to detail, and an understanding of business processes.
• Excellent written and verbal communication and presentation skills with the ability to articulate complex problems and solutions, including the evaluation of the sufficiency of internal investigations, through concise and clear messaging to internal stakeholders and senior leaders.
• Ability to manage complex documentation with strong organizational skills and attention todetail.
• Ability to work collaboratively with internal partners, navigate a dynamic and complex organization, and influence and lead people across cultures.
• Ability to learn and use relevant technology tools, including case management systems, and basic knowledge of Microsoft Excel and PowerPoint.
• Must be a highly motivated, organized, team-oriented self-starter with the ability to work independently.

Education:

• Bachelor’s degree, potentially Master’s degree, or equivalent experience
• Demonstrated proficiency with legal writing required
• JD or equivalent education a plus

Anticipated Posting Close Date:

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Job Description:

Based in Tampa, Florida, or Irving, Texas, the Legal Support Officer will report to the Legal Support Senior Manager and ultimately to Citi’s Ethics Executive Group Manager. This position will be responsible for supporting and coordinating Ethics Officeresponses to audit (internal and external), legal, and regulatory requests, as well as regulatory remediations around the world. In addition, this position will be responsible for Ethics Office communications to submitters; monitoring compliance with Ethics Office requirements for matter handling, and confirming accurate status at all stages of an Ethics Office matter, coordinating with investigative partners and other stakeholders to do so.

Primary responsibilities will include:

• Liaising with colleagues within the Ethics Office as well as partners in businesses, Human Resources, Employee Relations, Legal, Citi Security & Investigative Services (CSIS), Independent Compliance Risk Management (ICRM), and other functions, as appropriate, to respond to requests from internal and external auditors, legal requests, and regulatory requests.

• Coordinating with colleagues within the Ethics Office as well as investigative partners and other stakeholders to monitor compliance with Ethics Office requirements and correct status reporting on Ethics Office matters.

• Making appropriate recommendations to improve controls and systems.

• Assisting with other Ethics Office initiatives as needed.

• Working on strategic projects, including executing on regulatory remediations.

• Supporting the preparation of reports and metrics for distribution to business committees, senior management, internal and external auditors, and regulators.

• Additional duties as assigned.

• 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:

• 5-8 years of relevant industry experience

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

• Outstanding 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

• 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

• Exceedingly organized, with a highly developed attention to detail

• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization

• Excellent working knowledge of MS Office applications (Excel, Word, PowerPoint, etc.)

:

• Bachelors/University degree or equivalent experience

Anticipated Posting Close Date:

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