Compliance Product Analyst

Location UK / UK

Job Type Permanent full-time, TemporaryContract

Salary Not disclosed

Updated 4 days ago

Reference 1377076

 Job Description

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported NAM Markets and Securities Services businesses and guidance on NAM Markets and Securities Services rules/laws.

Key Activities:



Serves as a NAM Markets and Securities Services 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 NAM Markets and Securities Services and customer needs in a manner consistent with the Citi program framework.



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.
  • 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, as necessary.
  • Additional duties as assigned.
    • Undertake risk based compliance monitoring in accordance with Citi standards to confirm required regulatory and internal requirements are being met and identify and escalate any exceptions
    • Document issues and work with the appropriate stakeholders to ensure that issues are resolved or remediated satisfactorily and within agreed timeframes


Education level and/or relevant experience(s):


Required: Bachelor’s degree;  some 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:



  • 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)



  • 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