Compliance Officer
Citi
Belfast, United Kingdom
3d 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 :

  • Providing advice and credible challenge to the first line on rules, regulations and Control Group policies.
  • Participating in Control Group BAU activities such as watch listing, research and conflicts review, in particular handling more complex reviews with minimal supervision.
  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM, including :
  • Providing advice and credible challenge to the first line on rules, regulations and Control Group policies.
  • Participating in Control Group BAU activities such as watch listing, research and conflicts review, in particular handling more complex reviews with minimal supervision.
  • Assisting 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 Control Group.
  • Preparing, editing and maintaining Compliance program related materials
  • Assisting in the development and administration of Compliance training for the Control Group.
  • Researching rules and rule changes and assisting in implementing policies, procedures or other controls necessary to comply with the rules / regulations.
  • Additional duties as assigned.
  • KNOWLEDGE, SKILLS AND EXPERIENCE

    Education level

    and / or relevant experience(s)

    Required :

    Bachelor’s degree; at least 2 years’ experience in compliance, legal or other control-related function in the 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 :
  • Knowledge of Compliance laws, rules, regulations, risks and typologies particularly those that relate to insider trading and market abuse
  • 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)
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and management
  • Some knowledge in area of focus
  • Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - GB

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