Citi Research Compliance Risk Analyst

Location UK / UK

Job Type Permanent full-time, TemporaryContract

Salary Not disclosed

Updated 4 days ago

Reference 1377266

 Job Description

Serves as a Citi Research compliance risk analyst for the EMEA Region for Independent Compliance Risk Management (ICRM)

PRIMARY RESPONSIBILITIES

 

Serves as a Citi Research compliance risk analyst for the EMEA Region 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 Citi Research business and customer 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 Citi Research and guidance on investment research rules/laws.

 

The role will report into the EMEA Citi Research ICRM officer based in London, United Kingdom.

 


Key Activities include:

 

 

  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Assisting with regulatory inquiries and/or examinations.
  • Researching rules/rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
    o Executing and developing monitoring routines, following established procedures.
  • 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

 

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


Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.

 

Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.

 

Citi is an Equal Opportunities Employer.