Compliance Product Senior Officer - Senior Vice President Job at Citi (Paris)

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , New York

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)
flexibility to work remotely on Friday

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , Greenwich

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)

Fulltime

Cyber Risk Senior Officer - Senior Vice President

Location

United States , Irving

Salary:

156160.00 - 234240.00 USD / Year

Citi

Expiration Date

Until further notice

Requirements

10+ years relevant experience
Practical experience working in, assessing, or challenging security architecture, infrastructure security, network security, cloud security, cyber resilience or data protection
Deep knowledge of products within the coverage area, including a technical understanding of current and emerging trends as well as the ability to apply in-depth understanding of the business impacts of technical contributions
Experience in cyber risk assessments, metrics, enterprise technology services, risks, and controls within globally complex, dispersed, and diverse organizations
In-depth knowledge of cyber risks and controls across various information system architecture and engineering domains including: data protection, identity and access management, vulnerability management, network security, endpoint security, logging and monitoring, incident management, cyber resilience and third-party management
preferred expertise in security architecture, cloud security, and emerging technologies (including Artificial Intelligence and Digital Assets)
Subject matter expert in one or more industry standard risk management frameworks (including ISO27001, COBIT, TOGAF and CRI for example), and an in-depth understanding of cyber risk mitigation strategies
Outstanding communication and influencing skills through all levels of the organization and with external partners and vendors
Exceptional relationship management skills
must be able to address and resolve conflict while maintaining relationships

Job Responsibility

Manages internal projects on threat issues that support a variety of participants and stakeholders measuring the effectiveness and comprehensiveness of Citi’s first line defenses
Establishes and oversees the application of compliance and cyber policies and procedures, technology and tools, and governance processes to provide credible challenge for minimizing losses from cyber risks
Independently assesses cyber risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices
Leads independent assurance activities to assess areas of concern including substantive and controls testing
Monitors, evaluates, and challenges Key Risks and associated Key Risk Indicators triggers and thresholds
Also lead discussions with Key Indicator owners on breaches and action steps to correct breaches
Identifies potential risks associated with program/project delivery on a technical and detailed level
Leads various second line of defense cyber assessments including risk assessments, control assessments, maturity assessments etc
Assesses cyber risks associated with new initiatives and programs being proposed for implementation
Challenges the design, adequacy and strength of the control environment associated to technology and cyber and recommends actions to ensure the operational risk profile is in line with the cyber risk appetite

What we offer

medical, dental & vision coverage
401(k)
life, accident, and disability insurance
wellness programs
paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

Fulltime

Credit Officer - Senior Vice President

Are you looking for a career move that will put you at the heart of a global fin...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Extensive experience in a credit-oriented role, preferably with a large multinational financial services firm
Solid experience in credit, restructuring, or remedial management with understanding of legal documentation and regulatory frameworks
Strong credit sense and ability to articulate a view, work across a range of credit products, with experience in early problem recognition and crisis resolution skills
Effective interpersonal skills, including an ability to be persuasive and build consensus on complex issues
Highly-experienced credit professional with a deep and relevant restructuring, distressed or comparable expertise
Demonstrated corporate finance, business strategy and debt structuring skills, with ability to manage complex transactions and conduct negotiations
Thorough understanding of the risk profile, structure and governing documentation for various credit and market products
Hands on experience in stressed and distressed concepts, processes, and associated internal bank accounting (e.g., valuations, cost of credit, etc.)
History of promoting a strong governance and controls environment
Excellent analytical, technical, and problem-solving skills

Job Responsibility

Lead the management of a portfolio of stressed and distressed credit exposures
Define and implement account and exposure strategies
Proactively manage evolving credit situations and workout processes
Develop and execute restructuring and remedial strategies
Drive portfolio recovery value while balancing stakeholder interests
Partner with internal teams, clients, and external advisors to deliver solutions
Provide risk oversight, challenge, and approvals in line with 2LoD responsibilities
Ensure accurate and timely risk ratings, regulatory classifications, and cost of credit actions
Provide strategic direction, transaction execution, and approval for Special Assets-managed credits
Work with Special Assets Senior Transactors, valuation team members and banking in the management and execution of the Special Assets portfolio

What we offer

Generous holiday allowance starting at 27 days plus bank holidays
increasing with tenure
A discretional annual performance related bonus
Private medical insurance packages to suit your personal circumstances
Employee Assistance Program
Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to an array of learning and development resources

Fulltime

Monitoring & Surveillance Compliance Officer (Vice President)

The Communications Surveillance Vice President will be part of a dynamic team re...

Location

United States Of America , NEW YORK

Salary:

135000.00 - 165000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

Requirements

Bachelor Degree / BSc Degree or equivalent
degree in Finance, Business, Technology or related field preferred
Minimum 5 years of experience in compliance surveillance, electronic communications monitoring, financial services compliance, or related risk functions
Knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
Proven leadership experience managing compliance teams and developing surveillance and monitoring programs
Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks
Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows
Experience working with electronic communications surveillance tools (e.g., SHIELD, or similar)
Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings
Work well in a team environment displaying leadership qualities

Job Responsibility

Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm’s policies
Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution
Enhance and deliver surveillance trainings by providing subject matter expertise to the central compliance training team for continuous program development
Maintain and enhance meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed
Assist with system implementations and enhancements, ensuring communications surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices
Collaborate with IT and Project teams to design, implement, and refine processes and controls supporting communications surveillance
Prepare and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends
Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions

Fulltime

Senior Vice President Physician Officer Division

This job description indicates the general nature and level of work expected of ...

Location

United States , Oak Brook

Salary:

226.10 - 361.75 USD / Hour

Advocate Health Care

Expiration Date

Until further notice

Requirements

Doctor of Medicine (MD) or Doctor of Osteopathic Medicine (DO) from an accredited institution
Board certification in a relevant specialty is typically required
Typically requires 15 years of relevant management experience
Experience managing large teams of physicians and advanced practice providers (APPs)
Experience with clinical operations, quality improvement, and patient experience initiatives
Prior responsibility for budgetary oversight and strategic planning
Experience working within complex, matrixed organizations and collaborating with executive leadership
Ability to round in surgical environments and respond to urgent operational issues across sites
typical office/clinical demands.

Job Responsibility

Lead enterprise-wide strategic planning and execution to support integrated, patient-centered care delivery in both fee-for-service and risk-based models
Advance physician alignment strategies to foster engagement, accountability, and shared governance across the enterprise
Develop and implement operational strategies for clinical service lines, ensuring alignment with enterprise goals and local market needs
collaborates with and advances Best Place to Care initiatives to continue to improve physician engagement and retention
Is key to providing transparent and effective communication to clinicians and fostering an all-inclusive culture
Oversee operational performance and standardization across hundreds of clinics and service sites, delivering millions of patient visits annually
Optimize medical group performance across clinical outcomes, access, operational efficiency, and financial sustainability
Lead efforts to standardize administrative and call pay compensation for physicians and APPs, promoting equity, transparency, and market alignment
Monitor and maintain physician performance measures (productivity, quality, patient and referring physician satisfaction, etc.)
Responsible for a multi-billion-dollar annual operating budget and performance across all clinical settings

What we offer

Paid Time Off programs
Health and welfare benefits such as medical, dental, vision, life, and Short- and Long-Term Disability
Flexible Spending Accounts for eligible health care and dependent care expenses
Family benefits such as adoption assistance and paid parental leave
Defined contribution retirement plans with employer match and other financial wellness programs
Educational Assistance Program
Premium pay such as shift, on call, and more based on a teammate's job
Incentive pay for select positions
Opportunity for annual increases based on performance.

Fulltime

Senior Vice President Physician Officer Division

This job description indicates the general nature and level of work expected of ...

Location

United States , Oak Brook

Salary:

226.10 - 361.75 USD / Hour

Advocate Health Care

Expiration Date

Until further notice

Requirements

Doctor of Medicine (MD) or Doctor of Osteopathic Medicine (DO) from an accredited institution
Board certification in a relevant specialty is typically required
Typically requires 15 years of relevant management experience
Experience managing large teams of physicians and advanced practice providers (APPs)
Experience with clinical operations, quality improvement, and patient experience initiatives
Prior responsibility for budgetary oversight and strategic planning
Experience working within complex, matrixed organizations and collaborating with executive leadership
Ability to round in surgical environments and respond to urgent operational issues across sites
typical office/clinical demands.

Job Responsibility

Lead enterprise-wide strategic planning and execution to support integrated, patient-centered care delivery in both fee-for-service and risk-based models
Advance physician alignment strategies to foster engagement, accountability, and shared governance across the enterprise
Develop and implement operational strategies for clinical service lines, ensuring alignment with enterprise goals and local market needs
collaborates with and advances Best Place to Care initiatives to continue to improve physician engagement and retention. Is key to providing transparent and effective communication to clinicians and fostering an all-inclusive culture
Oversee operational performance and standardization across hundreds of clinics and service sites, delivering millions of patient visits annually
Optimize medical group performance across clinical outcomes, access, operational efficiency, and financial sustainability
Lead efforts to standardize administrative and call pay compensation for physicians and APPs, promoting equity, transparency, and market alignment
Monitor and maintain physician performance measures (productivity, quality, patient and referring physician satisfaction, etc.)
Responsible for a multi-billion-dollar annual operating budget and performance across all clinical settings
Drive continuous improvement initiatives to enhance efficiency, reduce variation, and optimize cost structures across clinics and centralized functions

What we offer

Paid Time Off programs
Health and welfare benefits such as medical, dental, vision, life, and Short- and Long-Term Disability
Flexible Spending Accounts for eligible health care and dependent care expenses
Family benefits such as adoption assistance and paid parental leave
Defined contribution retirement plans with employer match and other financial wellness programs
Educational Assistance Program
Premium pay such as shift, on call, and more based on a teammate's job
Incentive pay for select positions
Opportunity for annual increases based on performance

Fulltime

Senior Vice President, Securities Settlements, Product Execution and Control

This senior leadership role is pivotal in creating an environment that fosters c...

Location

Hong Kong SAR , Kowloon

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

10+ years of relevant experience in financial services, with a significant portion in a senior leadership role within risk management, operations, or transformation
Subject matter expert in Securities Settlements, Trade Settlement Lifecycle, and one or more related functions
Senior to advanced-level experience in risk and control
Proven ability to lead, mentor, and develop teams, manage large-scale concurrent projects, and drive transformation in a high-risk, global environment
Exceptional analytical, strategic thinking, and problem-solving skills with a proven ability to analyze complex data, identify trends, and evaluate sophisticated risk scenarios
Consistently demonstrated clear and concise written and verbal communication skills
Superior presentation, influencing, and negotiation skills
Strong risk and control mindset with the ability to work effectively in a structured, high-volume, time-sensitive, and demanding environment
Working knowledge of Microsoft Office Suite
Bachelor's Degree/University Degree or equivalent experience required.

Job Responsibility

Lead the assessment of risk when business decisions are made, setting the standard for the firm's reputation and the safeguarding of Citigroup, its clients, and assets
Oversee regulatory compliance with applicable laws, rules, and regulations, ensuring adherence to Policy and upholding sound ethical judgment
Establish a first line-of-defense culture, embedding accountability and ownership of risk across operations teams
Direct the strategy for proactive risk identification by overseeing process walkthroughs, emerging risk analysis, and the assessment of control design effectiveness against firmwide standards
Manage complex root cause analyses of significant Operational Risk Events, ensuring transparent, accurate, and timely reporting and escalation to executive management
Provide senior-level guidance on the application of existing and new firm-wide policies and standards, ensuring procedural changes are implemented correctly and within defined timelines
Direct the preparation for internal audits, setting communication standards and proactively engaging with audit teams through business monitoring and issue discussions
Drive business solutions aligned with the global strategy
oversee business requirements that are strategic and well-understood by all stakeholders
Review and champion strategic opportunities for innovative solutions to re-engineer processes, build scale, and mitigate risk across the settlements lifecycle

Fulltime

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Compliance Product Senior Officer - Senior Vice President

Job Description

Job Responsibility

Requirements

Nice to have

What we offer

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