Compliance Product Officer – VP – Control Room – Insider Trading

Compliance Product Officer – VP – Control Room – Insider Trading

Requirements

• Knowledge of Compliance laws, rules, regulations, risks and typologies
• 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
• Strong written and verbal communication and interpersonal skills
• Ability to both work collaboratively and independently; ability to navigate a complex organization
• Advanced analytical skills
• Ability to both work independently and collaborate with team members
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Demonstrated knowledge in area of focus

Responsibilities

• Key advisor to business groups (IB Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and Need-to Know Rule.
• Review incoming investment banking transactions for conflicts clearance and materiality determination and placement of material transactions on the Firm’s Watch List for monitoring.
• Maintain the Control Room’s internal database of investment banking assignments, to prevent / resolve information barrier issues. This includes updating the Watch List and Restricted Trading List on an ongoing basis.
• Implement sales and trading restrictions based upon the Restricted Trading List and provide clarification on / exceptions for restrictions.
• Provide pre-clearance for employee trading requests and reviewing employee trading in both internal and external accounts against the Firm’s Watch and Restricted lists.
• Review and train business groups on information barriers, policies, and procedures.
• Advise Investment Banking groups of regulatory requirements on a transaction-specific basis.
• Liaise with other legal and compliance groups to address information barrier issues, trading in equities and fixed income, employee personal trading and various regulatory inquiries.
• Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
• Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
• Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
• Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.
• Supporting the function/business/product in performing timely compliance reviews of new products.
• Assisting in the development and administration of Compliance training for the supported function/business/product.
• Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
• Additional duties as assigned
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm’s reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Preferred Qualifications

• Relevant certifications desirable