ROHQ ICRM - Compliance Product Analyst 1 (Officer / C09)
City of Taguig, Philippines
1d ago

Serves as a monitoring function / business / product compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for assisting with compliance monitoring of 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 a monitoring and CRM program solutions that meet function / business / product customer needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance monitoring advice relating to the supported function / business / product and guidance on function / business / product rules / laws

Key Activities include :

  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Execution of Compliance Monitoring reviews, which include but are not limited to the following : To check if trade transactions between Institutional Clients, and Front Office (Sales and Trading) comply with policies, procedures, and guidelines.
  • To check if markets-related materials (e.g. Market Commentary) disseminated by Sales and Trading comply with policies, procedures, and guidelines.

  • Assisting with regulatory inquiries and / or examinations.
  • Researching rules / rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.
  • Preparing, editing and maintaining Compliance program related materials.
  • Coordinating, track and time manage policy and training initiatives.
  • Interacting and working with other areas within ICRM, as necessary.
  • Additional duties as assigned
  • Education level and / or relevant experience(s) :

    Required : Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof

    Preferred : Advanced degree (e.g. JD, MBA) a plus

    Knowledge and skills :


  • Excellent written and verbal communication skills
  • 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 project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Preferred :

  • Some knowledge of Compliance laws, rules, regulations, risks and typologies
  • Some knowledge in area of focus
  • Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - PH

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