SVP, Compliance Product Sr Officer I - Futures Compliance - C14 (New York)

Queens County Bar Association; Denver (CO); On-site; USD 176,000 - 266,000; Full time

Job summary

CITI is seeking a Senior Compliance Risk Officer to lead compliance strategies and frameworks across financial services. This full-time position in Denver emphasizes developing strong compliance programs, managing regulatory relationships, and advising on compliance issues. Qualified candidates should display extensive experience with compliance laws and a proven ability to communicate complex regulatory requirements clearly.

Benefits

401(k)

Life, accident, and disability insurance

Wellness programs

Paid time off packages

Qualifications

• Experience in compliance and regulatory functions in financial services.
• Capacity to manage complex compliance risks across various products.
• Expertise in regulatory examination processes is essential.

Responsibilities

• Design, develop, and maintain compliance programs.
• Oversee regulatory developments and compliance risk behaviors.
• Manage regulatory exams and internal audits.

Skills

Compliance laws

Attention to detail

Analytical skills

Education

Bachelor's degree

Advanced degree

Job description

SVP, Compliance Product Sr Officer I - Futures Compliance - C14 (New York)

Queens County Bar Association

On-site

USD 176,000 - 266,000

Full time

13 days ago

Job summary

CITI is seeking a Senior Compliance Risk Officer for Independent Compliance Risk Management. This role involves developing strategies and frameworks to ensure compliance with regulations while advising on business needs. Successful candidates will have robust experience in compliance, regulatory exams, and excellent analytical skills.

401(k)

life, accident, and disability insurance

wellness programs

paid time off packages

Qualifications

• Expertise of Compliance laws, rules, regulations, risks and typologies.
• Highly motivated, strong attention to detail, team oriented.

Responsibilities

• Designing, developing, delivering and maintaining Compliance programs.
• Overseeing monitoring and identification of regulatory developments.
• Leading initiatives to manage regulatory examinations and audits.

Education

Advanced degree a plus

Serves as a senior function/business/product compliance risk officer for 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. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, 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. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC product offering which includes Futures , OTC Clearing, and FX Prime Brokerage.

Responsibilities:

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.
• Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings supporting CFTC, NFA and North American Listed Derivatives markets.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product.
• Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.
• Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
• Participating in industry groups and trade association working groups or other forums.
• Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• Designing and lead compliance and control reviews.
• 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.
• Support the end-to-end process for the annual CCO report production, including data collection, sub-certification analysis, and stakeholder coordination.
• Ensure adherence to conflicts of interest policies and assist in the identification, tracking, and resolution of potential conflicts.
• Lead the management of regulatory examinations, including pre-audit preparation, coordination with internal stakeholders, and post-exam follow-up
• 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:

• Expertise of Compliance laws, rules, regulations, risks and typologies;
• Excellent written, verbal and analytical skills
• Must be a self-starter, flexible, innovative and adaptive;
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.
• Awareness of regulatory requirements including local and US laws, international and industry standard
• Advanced knowledge in area of focus
• Prior experience supporting a FCM compliance function or legal/regulatory advisory role
• Knowledge of clearing, trading, and conflicts of interest frameworks

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; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus

------------------------------------------------------

Job Family Group:

Compliance

Serves as a senior function/business/product compliance risk officer for 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. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, 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. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC product offering which includes Futures , OTC Clearing, and FX Prime Brokerage.

Responsibilities:

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.
• Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings supporting CFTC, NFA and North American Listed Derivatives markets.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product.
• Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.
• Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
• Participating in industry groups and trade association working groups or other forums.
• Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
• Designing and lead compliance and control reviews.
• 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.
• Support the end-to-end process for the annual CCO report production, including data collection, sub-certification analysis, and stakeholder coordination.
• Ensure adherence to conflicts of interest policies and assist in the identification, tracking, and resolution of potential conflicts.
• Lead the management of regulatory examinations, including pre-audit preparation, coordination with internal stakeholders, and post-exam follow-up
• 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:

• Expertise of Compliance laws, rules, regulations, risks and typologies;
• Excellent written, verbal and analytical skills
• Must be a self-starter, flexible, innovative and adaptive;
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
• Experience in managing regulatory exams and relationships with examiners, auditors, etc.
• Awareness of regulatory requirements including local and US laws, international and industry standard
• Advanced knowledge in area of focus
• Related certifications desirable
• Prior experience supporting a FCM compliance function or legal/regulatory advisory role
• Knowledge of clearing, trading, and conflicts of interest frameworks

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; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus

------------------------------------------------------

Job Family Group:

Compliance

------------------------------------------------------

Job Family:

Product Compliance Risk Management

------------------------------------------------------

Time Type:

Full time

------------------------------------------------------

Primary Location:

New York New York United States

------------------------------------------------------

Primary Location Full Time Salary Range:

$176,720.00 - $265,080.00

In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

------------------------------------------------------

Anticipated Posting Close Date:

Feb 27, 2025

------------------------------------------------------

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.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .

View the "EEO is the Law " poster. View the EEO is the Law Supplement .

View the EEO Policy Statement .

View the Pay Transparency Posting

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