- Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM.
- Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.
- Provision of face to face training on relevant policies and regulations
- Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on EMEA Prime Finance, Delta1 and Agency Lending regulations on a real-time basis to manage compliance risk
- ICRM advice to the business on compliance risks, policies and controls relating to Prime Finance and Delta1 activities, including Prime Brokerage, synthetic financing, stock borrow/loan and ETFs
- Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings
- Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the EMEA Prime Finance, Delta1 and Agency Lending businesses
- Analysing and scoping the impact of new and complex regulatory developments across EMEA Prime Finance, Delta1 and Agency Lending, including cross-border impact
- Advising ICRM and EMEA Prime Finance, Delta1 and Agency Lending management and personnel on regulatory and compliance issues and provide credible challenge
- Participating in industry groups and trade association working groups or other forums
- Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
- Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
- Designing and lead compliance and control reviews
- Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
- Additional duties as assigned.
Skills and Qualifications:
- 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 in area of focus; strong working knowledge of EMEA Prime Finance, Delta1 and Agency Lending and the related operations and financial requirements
- Advanced degree (e.g. JD, MBA) a plus
- Expertise of Compliance laws, rules, regulations, risks and typologies
- 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
- 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
- Advanced knowledge in area of focus;
- Understanding and experience of Prime Finance/Prime Brokerage business and controls, including Swap financing and stock borrow/loan activities.
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