Citi Group Compliance Product Sr Analyst - Control Group 

United States, New Jersey, Jersey City 

143208058

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.

Anticipated Posting Close Date:

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