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Citi Group Compliance Product Sr Analyst - Control Group 
United States, New Jersey, Jersey City 
143208058

25.06.2024

Serves as a Control Group compliance officer, specifically relating to research publications for the


Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day compliance advice to the Investment Banking & Research departments , compliance approvals for research publications, public appearances and non deal roadshows. Compliance oversight of the Global Research Settlement , capital formation policy, chaperoning calls between investment banking and research and interpretation on internal policies and procedures.

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 operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.
  • Identifying, evaluating and resolving issues related to the publication of Investment Research product.
  • Independently engage with senior Business management and other global functions to resolve complex issues and address the associated Compliance and Regulatory Risks.
  • Responding to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.
  • Reviewing and approving Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.
  • Chaperoning and tracking authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.
  • 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 the supported businesses
  • Supporting the Research and Investment Banking businesses in performing timely compliance reviews of new products.
  • Assisting in the development and administration of Compliance training for the supported
  • businesses.
  • Researching any new reform rules and rule changes and implementing policies, procedures
  • or other controls necessary to comply with the rules.
  • Maintain the Firm’s Watch and Restricted List and determining appropriate levels of restrictions and research quiet periods.
  • Collaborate with colleagues on a global level and standardize regional practices.
  • Provide senior leadership and support to other members of the Research Clearance and Chaperoning team including developing and implementing training programs for new joiners.
  • Lead special projects to enhance efficiencies, identify and mitigate risk, and implement technological solutions.
  • Additional duties as assigned.

Experience/Knowledge/Skills:

  • Knowledge of applicable compliance laws, rules, regulations, risks and typologies
  • Extensive knowledge of FINRA Rules 2241 and 2242, Rules 138 and 139 safeharbors,
  • Section 5 risks, The Global Research Settlement & The Jobs Act (EGCs) preferred
  • Exposure to Control Group, or Product Compliance roles (Banking or Research) within a financial services firm preferred
  • 2 years experience in compliance, legal, or other control-related function in a financial services firm, or a combination thereof preferred
  • Demonstrated knowledge in Research Review, Global Research Settlement and Capital Formation issues preferred
  • 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)
  • Able to work the assigned shifts of this team as follows: 6:30am - 3:30pm, 9am-5:30pm,
    11am-7pm. Each team member rotates with a typical month working, one early, two
    middle and one late shift.

Education:

  • Bachelor’s degree or equivalent experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in areas of focus (Control Room/ Investment Banking / Research).
  • JD, MBA, relevant certifications, or securities licenses is a plus.
Compliance and ControlProduct Compliance Risk Management

Full timeJersey City New Jersey United States$109,120.00 - $163,680.00


Anticipated Posting Close Date:

Aug 05, 2024

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