Citi Group Compl Product Intmd Analyst - C11 MUMBAI 

Malaysia, Penang, George Town 

595962729

Responsibilities:

• Provide guidance and support to facilitate transactional conflict clearance process.
• 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.
• Chaperone and track authorized discussions between research analysts and investment bankers and monitoring such
communications during the capital formation process.

Qualifications:

• Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function/business/product
• 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
• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• 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

Time Type:

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