Citi Group Senior Director Compliance Product - Equities Global 

United States, New York, New York 

479434792

Responsibilities:

• Overseeing the design, development, delivery, and maintenance of best-in-class Compliance, programs, policies and practices and sets strategic ICRM direction. Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the program.
• Leading and managing a staff of Compliance professionals, with direct accountability for hiring and organizational structure. Direct oversight for compensation, performance appraisals, staff development, training, etc. Provides input on performance and compensation recommendations for staff and utilities that provide related services on a matrix basis.
• Providing oversight and guidance over the assessment of broad complex issues, structures potential solutions and drives effective resolution with other senior stakeholders. Provide advice to the businesses on an ongoing basis on new function/business/product initiatives, new products, business acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
• Assisting in setting annual function/business/product and individual goals that support overall compliance risk management strategy.
• Coordinating with function/business/product compliance heads to align individual programs and objectives with compliance strategy and risk appetite.
• Representing Chief Compliance Officer in significant strategic initiatives as requested.
• Building relationships with stakeholders by exhibiting strong subject matter expertise and bringing a sense of urgency to pro-actively support client groups.
• Building and maintaining strong relationships with other functional heads, working closely with Legal, other control functions, and Internal Audit to create a supportive and seamless culture of compliance, control, and ethical conduct.
• Providing leadership in collaborating with regional teams to set global direction, standards and plan execution.
• Providing leadership in creating and implementing policy and establishing the compliance risk management framework supporting the policy.
• Providing guidance to the function/business/product and thematic Compliance programs on the resolution of open issues related to audit and examination findings; report progress to senior ICRM and Business/Function management as appropriate.
• Proactively anticipate and help the business plan for changes in the compliance and regulatory environment.
• Providing counsel to ICRM and function/business/product management on policy interpretation and “gray area” exposures.
• Establishing professional relationships with relevant regulatory bodies and represent Citi and supported function/business/product Compliance on regulatory matters as required.
• Serving as the liaison with regulatory examiners, Internal Audit, and external auditors on all significant Compliance issues involving supported function/business/product and overseeing implementation of related remediation.
• 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 well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

Qualifications:

• 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
• Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques, structure potential solutions, and drive to resolution with senior stakeholders
• Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse businesses
• Experience managing diverse teams, and comfort navigating complex, highly-matrixed organizations
• Comfortable acting as an agent for positive change with agility and flexibility
• Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential
• Articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. Candidates must have effective persuasion skills, the ability to work effectively at the highest levels of the organization, and will display highly effective networking and influencing skills
• Executive presence and a reputation for building strong relationships with stakeholders and leading teams, both direct reports and in peer/influence models
• Subject matter expertise in area of focus
• FINRA registrations (e.g. Series 7, 63, 24, 79) desirable

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; experience and current knowledge of product/function products and services, including interpretation and application of all related laws, regulations and directives. Experience managing a diverse staff
• Advanced degree preferred

Anticipated Posting Close Date:

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