ROHQ ICRM - Compliance Product Manager (AVP / C12)
City of Taguig, Philippines
4d 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 in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Managing a team of junior compliance staff, reviewing staff assignments and contributing to decisions regarding hiring, compensation, performance appraisals, staff development, training, etc
  • Assist with regulatory inquiries and / or examinations.
  • 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 function / business / product.
  • Supporting the business in performing timely compliance reviews of new transactions and / or products
  • Assisting in the development and administration of Compliance training for the supported function / business / product.
  • Researching any rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules / regulations
  • Additional duties as assigned.
  • Education level and / or relevant experience(s) :

  • Required : 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; supervisory experience.

    Preferred : Advanced degree (e.g. JD, MBA) a plus. Experience and knowledge of investment banking, corporate banking, commercial banking, capital markets, investment research, treasury services and / or trade services products and relevant laws and regulations also a plus.

    Knowledge and skills :

    Required :

  • Working Knowledge of Compliance laws, rules, regulations, risks and typologies in the supported function / business / product.
  • Background in developing controls, and best practices to mitigate compliance risk
  • Experience in performing audit and / or relevant engagement with audit concerning front office, middle office, and operations is an advantage.
  • 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
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Knowledge in area of focus on front office operations / dealings on equities and fixed income businesses
  • Other : Relevant certifications desirable

    Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - PH

    Time Type : Full time

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    Minority / Female / Veteran / Individuals with Disabilities / Sexual Orientation / Gender Identity.

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