Director, Product Compliance Sr. Officer

• Providing Compliance guidance in relation to applicable FINRA and SEC rules
• providing compliance coverage and compliance leadership to the Cash Equities businesses
• directing and implementing the design, development, delivery and maintenance of best-in-class Compliance programs, policies, and practices
• staying abreast of relevant changes to rules, regulations, exchange rulebooks and other industry news
• providing oversight and guidance over the assessment of complex issues
• providing advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters
• representing Citi on critical regulatory matters as required
• supporting the function/business/product in performing timely compliance reviews of new transactions and/or products
• managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts
• assisting in the development and administration of Compliance training
• overseeing the monitoring and identification of regulatory developments
• analyzing and scoping the impact including applicability of new and complex regulatory developments
• assisting in the establishment of ICRM policies, procedures, and controls
• mentoring and developing junior staff
• participating in industry groups and trade association working groups
• appropriately assessing risk when business decisions are made

• Highly motivated
• strong attention to detail
• team oriented
• organized
• excellent written, verbal and analytical skills
• strong communication and interpersonal skills
• strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• ability to interact and communicate effectively with senior leaders
• significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls (Examples include Reg SHO, 5320, Reg M)
• experience in the design and implementation of Compliance programs
• demonstrated ability to assess complex issues through root cause analysis and other analytical techniques
• structure potential solutions
• 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 Business/Function
• experience with and previous exposure to internal or external control functions and regulators
• ability to challenge Business/Function management and escalate issues when appropriate
• strong track record of effectively assessing and managing competing priorities
• comfortable 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
• subject matter expertise in area of focus
• related certifications desirable

Advanced degree

• Medical, dental & vision coverage
• 401(k)
• life, accident & disability insurance
• wellness programs
• paid time off packages including vacation, sick leave, and paid holidays
• discretionary and formulaic incentive and retention awards