Compliance Officer
Belfast, United Kingdom
1d ago

Serves as a Control Group compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for assisting with 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 Control Group and internal client needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Control Group and guidance on Control Group rules / laws.

The role will report to a member of EMEA ICRM Control Group leadership team based in Belfast.

Key Activities include :

  • Assisting and supporting senior staff in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM, including :
  • Providing guidance on rules, regulations and Control Group policies.
  • Participating in Control Group BAU activities such as watch listing, research and conflicts review.
  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Assisting with regulatory inquiries and / or examinations.
  • Researching rules / rule changes and implements 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, Legal and Business Selection as necessary.
  • Additional duties as assigned.

    Education level

    and / or relevant experience(s)

    Required : Bachelor’s degree; at least 1 years’ 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

    general and technical)

    Required :

  • 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 - GB

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