Citi Group Compliance Product Group Manager SVP - Control Room Insider Information 

United States, New Jersey, Jersey City 

360684037

Primary responsibilities include management of the New Jersey based Control Room team, overseeing day-to-day operations and effective implementation of controls to mitigate insider dealing risk, providing Compliance advice and guidance related to associated regulation and internal policies, as well as contributing to the development of Global Control Room team strategy, procedures and operating model.Responsibilities:

• Designing, developing, delivering and maintaining best-in-class Compliance policies and practices for ICRM Control Room.
• Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the Control Room program.
• Managing a team of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, etc.
• Serving as a subject matter expert on Citi’s information barrier program. Provides expert guidance on relevant regulations on a real-time basis to manage compliance risk.
• 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 Control Room.
• Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.
• Advising ICRM and relevant business/product management and personnel on regulatory and compliance issues and provide credible challenge.
• Participating in industry groups and trade association working groups or other forums as needed.
• 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.
• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• Designing and lead compliance and control reviews.
• 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.
• 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
• Additional duties as assigned.

Qualifications:

• Expertise of Compliance laws, rules, regulations, risks and typologies
• Experience working in a control room focused on watchlist, restricted list, wall barriers and insider trading/dealing preferred
• Prior people management experience preferred
• Excellent written, verbal and analytical skills
• Must be a self-starter, flexible, innovative and adaptive;
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to work 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
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.
• Awareness of regulatory requirements including local and US laws, international and industry standard
• Advanced knowledge in area of focus

Education:

• Bachelor’s degree required in relevant subject (e.g. Business, Finance or Law related) or equivalent experience in compliance, legal or other control-related function in the financial services firm
• Advanced degree preferred

Anticipated Posting Close Date:

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