BCMA and Research ICRM Compl Product Group Manager

Job Description

Serves as a senior Banking Capital Markets and Advisory (BCMA) and Research compliance risk manager for Independent Compliance Risk Management (ICRM) in Mexico and Latam countries, and is 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 Banking, Capital Markets and Research functions 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 BCMA Business and Research and the associated regulatory rules/laws and interpretation on internal policies and procedures.

Key activities include:

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Banking, Capital Markets and Research clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.
• Managing a team of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, coordination etc.
• Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on Banking, Public Offerings, Project Finance, Syndicated Loans and Research related 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.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the Banking, Public Offerings, Project Finance, Syndicated Loans and Research.
• Analysing and scoping the impact of new and complex regulatory developments across senior management of BCMA Business and Research , including cross-border impact.
• Advising ICRM and BCMA and Research senior 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 Banking, Public Offerings, Project Finance, Syndicated Loans and Research.
• 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, ICG Independent Risk, ICG Operations and Technology, Finance and ORM to prevent and detect non-compliance issues and promote a culture of compliance.

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 corporate credit, syndicated loans, project finance deals, public offerings (Equity & Debt) and Research reports; strong working knowledge of Banking, Capital Markets and Research and the related operations and financial requirements; previous experience managing a diverse staff

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

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