Responsibilities:
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
- Assisting with regulatory inquiries and/or examinations.
- 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 function/business/product.
- Preparing, editing and maintaining Compliance program related materials
- Assisting in the development and administration of Compliance training for the supported function/business/product.
- Researching rules and rule changes and assisting in implementing policies, procedures or other controls necessary to comply with the rules/regulations.
- 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:
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- 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 project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Strong interpersonal skills for interfacing with all levels of internal and external audit and management
- Some knowledge in area of focus
Education:
- Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree preferred
Lic terminada
Paqueteria Office intermedio
Exp sector financiero ; Conocimiento de productos financieros ej. Fondos de inversión, acciones
Conocimientos en productos de inversión y reportes regulatorios
Servicios de inversión
Experiencia en Auditoria interna
Ingles: deseable
Compliance and ControlProduct Compliance Risk Management
Time Type:
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