Compliance Officer (AVP) - Conflicts & Information Barrier Advisory - Research Clearance and Chaperoning

Serves as a compliance officer, specifically relating to research publications & managing conflicts between Banking & Research for the
Independent Compliance Risk Management (ICRM) department. ICRM is responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of laws, rules & regulations. ICRM designs and delivers a risk management framework that maintains risk levels within the firm's risk appetite and protects the firm's franchise. In addition, engages with the ICRM Product, Banking & Research business teams, in order to partner, develop and apply ICRM program solutions that meet the business and Research Department needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day compliance advice to the Investment Banking & Research departments , compliance approvals for research publications, public appearances and non deal roadshows. Compliance oversight of the Global Research Settlement , capital formation policy : chaperoning calls between investment banking and research and interpretation on internal policies and procedures.

Responsibilities:

• 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 Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.

• Identifying, evaluating and resolving issues related to the publication of Investment Research product.
• Independently engage with senior Business management and other global functions to resolve complex issues and address the associated Compliance and Regulatory Risks.
• Responding to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.
• Reviewing and approving Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.
• Chaperoning and tracking authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.
• 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 businesses
• Supporting the Research and Investment Banking businesses in performing timely compliance reviews of new products.
• Assisting in the development and administration of Compliance training for the supported
• businesses.
• Researching any new reform rules and rule changes and implementing policies, procedures
• or other controls necessary to comply with the rules.
• Maintain the Firm’s Watch and Restricted List and determining appropriate levels of restrictions and research quiet periods.
• Collaborate with colleagues on a global level and standardize regional practices.
• Provide senior leadership and support to other members of the Research Clearance and Chaperoning team including developing and implementing training programs for new joiners.
• Lead special projects to enhance efficiencies, identify and mitigate risk, and implement technological solutions.
• Additional duties as assigned.

Qualifications:

• Knowledge of applicable compliance laws, rules, regulations, risks and typologies
• Extensive knowledge of FINRA Rules 2241 and 2242,
• US Securities Laws concerning the publication of Research Reports - Rules 138 and 139 safeharbors & Section 5 Risks.
• The Global Research Settlement
• Exposure to Control Room, Conflicts, or Product Compliance roles (Banking or Research) within a financial services firm preferred
• 2 years experience in compliance, legal, or other control-related function in a financial services firm, or a combination thereof preferred
• Demonstrated knowledge in Research Review, Global Research Settlement and Capital Formation issues preferred
• 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 & in a fast paced environment.
• Advanced analytical skills
• Ability to both