Citi Group Senior Vice President Conflict Information Barrier Advisory 

Australia, Western Australia 

58783351

Shape your Career with Citi

Citi’sIndependent Compliance Risk Management (ICRM)is an independent control function that provides guidance and challenge to the firm, managing compliance risk and promoting behavior that is consistent with Citi’s mission.

Our Citi Research produces research on securities and provides this research to institutional clients. The Conflicts & InformationBarrier Advisory Group reviews the research products before they are sent to clients to identify and address any problematic legal, regulatoryand reputational issues.comply with relevant law and regulation, the Conflicts & Information Barrier Advisory group is responsible for identifying potential conflicts of iteam also provides advisory support in relation to regulatory requirements to business employees, including research analysts, investment
bankers and sales & trading staff.

The Conflicts & Information Barrier Advisory Group is a global team based in Sydney, Hong Kong, Mumbai, Belfast, New York and Tokyo.tracking legal and regulatory changes in order to keep conflict management systems and policies up to date.

We’re currently looking for a high caliber professional to join our team as(Internal Job Title:-C14) based in Sydney, Australia.Being part of our team means that we’ll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:

• 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.

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

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

In this role, you’re expected to:

• Provide guidance and support to facilitate transactional conflict clearance process.

• Evaluate and review potential transactions to ensure all relevant information is reviewed.

• Communicate with legal and Business Selection to ensure timely and accurate clearance of transactions.

• Analyse firm’s touchpoints to determine potential conflicts of interest.

• Provide advice and maintaining the Firm's various information barriers, through policies and procedures reasonably designed to prevent the misuse of material non-public information ("MNPI"), also known as non-public price-sensitive or ‘inside information’.

• Provide guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.

• Identify, evaluate, and resolve issues related to the publication of Investment Research product.

• Respond to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.

• Review and approve Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.

• Chaperon and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.

• Collaborate 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

• Support the Research and Investment Banking businesses in performing timely compliance reviews of new products.

• Assist in the development and administration of Compliance training for the supported businesses.

• Stay abreast of relevant changes to rules/regulations and other industry news including regulatory findings, 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 Conflicts and Information Barrier team including developing and implementing training programs for new joiners.

• Lead special projects to enhance efficiencies, identify and mitigate risk, and implement technological solutions.

• Advise ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.

• Assist in the design, development, delivery and maintenance of best-in-class compliance, programs, policies and practices for ICRM.

• Serve as a subject matter expert on Citi’s Compliance programs. Provide expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.

• Independently engage with senior Business management and other global functions to resolve complex issues and address the associated Compliance and Regulatory Risks.

• Assist with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.

• 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.

As a successful candidate, you’d ideally have the following skills and exposure:

• Expertise of Compliance laws, rules, regulations, risks and typologies.

• Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making strongly preferred.

• Experience working in a Control Group or Product Compliance function that covered Investment Banking transactions and or Research strongly preferred.

• Extensive knowledge of FINRA Rules 2241 and 2242, Rules 138 and 139 safe harbours, Section 5 risks, The Global Research Settlement & The Jobs Act (EGCs) preferred.

• Demonstrated knowledge in Research Review, Global Research Settlement and Capital Formation issues 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.

• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.

• 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

• Related certifications desirable

Time Type:

View the " " poster. View the .

View the .

View the