Product Compliance Senior Officer, Citi

Citi

Location:
United States, New York

Category:
Finance

Contract Type:
Employment contract

Salary:

170000.00 - 300000.00 USD / Year

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Job Description:

Serves as a senior product compliance risk officer covering North American Cash Equities Sales and Trading businesses, responsible for check and challenge of the businesses, compliance policies, and risk management frameworks.

Job Responsibility:

Providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M
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 including regulatory findings
Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders
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, such as implementing Compliance systems and controls
Assisting in the development and administration of Compliance training for the assigned function/business/product
Overseeing the monitoring and identification of regulatory developments
Analyzing and scoping the applicability of new and complex regulatory developments
Assisting in establishing ICRM policies, procedures and controls to comply with new regulations
Mentoring and developing junior staff
Participating in industry groups and trade association working groups
Appropriately assessing risk in business decisions, safeguarding the firm's reputation, escalating control issues transparently

Requirements:

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
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

Nice to have:

Related certifications
Advanced degree

What we offer:

Medical, dental and vision coverage
401(k)
Life, accident, and disability insurance
Wellness programs
Planned time off (vacation)
Unplanned time off (sick leave)
Paid holidays

Additional Information:

Job Posted:
August 14, 2025

Expiration:
August 20, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Product Compliance Senior Officer