Director, Product Compliance Sr. Officer - Cash Equities Sales and Trading - C15 (New York)

Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for check and challenge of the businesses, establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner to develop and apply program solutions that meet function/business/product and customer needs in a manner consistent with the Citi program framework.

Responsibilities:

• Strong knowledge of and comfort with 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. Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities;
• Directing and implementing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across Citi’s clients, products and geographies; provides direction and guidance on the programs.
• 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. Provides advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
• Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. 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 assigned function/business/product.
• 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 for the assigned function/business/product.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the function/business/product.
• Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned function/business/product, including cross-border impact.
• Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
• Mentoring and developing junior staff.
• Participating in industry groups and trade association working groups or other forums;
• 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.

Qualifications:

• 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 implementat