Senior Vice President and Vice President

4 weeks ago


London, Greater London, United Kingdom Citigroup Inc. Full time
Job Title: Senior Vice President and Vice President

Serves as a senior product compliance risk officer for Securities Services Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

Key Responsibilities:
  • Designing, developing, delivering, and maintaining best-in-class Compliance programs, policies, and practices for ICRM.
  • Monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.
  • 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.
  • Managing strategy and responses to regulatory examinations, reviews, and inquiries and internal and external investigations, as well as testing and audit.
  • Leading initiatives and managing high-impact special project work streams and control reviews with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
Requirements:
  • Has a working knowledge of UK regulations that impact Wholesale Products with a specific focus on requirements of the Senior Managers and Certification Regime (SMCR), FCA Handbook, and Client Asset rules.
  • Expertise of UK/EU Compliance laws, rules, regulations, risks, and typologies beneficial to have awareness of wider regulatory requirements including local and US laws, international, and industry standards.
  • Must be a self-starter, flexible, innovative, and adaptive, highly motivated, strong attention to detail, team-oriented, organized.
  • Ability to work collaboratively with regional and global partners in other functional units.
Education:
  • 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; strong working knowledge of function/business/product and the related operations and financial requirements.

Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.



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