Product Compliance Senior Officer - Cash Equities Sales and Trading, Director

Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for check and challenge of the businesses, establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner to develop and apply program solutions that meet function/business/product and customer needs in a manner consistent with the Citi program framework.

Responsibilities:

• Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M.
• Providing compliance coverage and compliance leadership to the Cash Equities businesses. Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities;
• Directing and implementing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across Citi’s clients, products and geographies; provides direction and guidance on the programs.
• Staying abreast of relevant changes to rules/regulations, exchange rulebooks and other industry news including regulatory findings.
• Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
• Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. 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 assigned function/business/product.
• Supporting the function/business/product in performing timely compliance reviews of new transactions and/or products
• Managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts;
• Assisting in the development and administration of Compliance training for the assigned function/business/product.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the function/business/product.
• Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned function/business/product, including cross-border impact.
• Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
• Mentoring and developing junior staff.
• Participating in industry groups and trade association working groups or other forums;
• Additional duties as assigned.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
  
  

Qualifications:

• Highly motivated, strong attention to detail, team oriented, organized
• Excellent written, verbal and analytical skills
• Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to interact and communicate effectively with senior leaders
• Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls (Examples include Reg Sho, 5320, Reg M)
• Experience in the design and implementation of Compliance programs
• Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
• Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business/Function
• Experience with and previous exposure to internal or external control functions and regulators
• Ability to challenge Business/Function management and escalate issues when appropriate
• Strong track record of effectively assessing and managing competing priorities
• Comfortable navigating complex, highly-matrixed organizations
• Comfortable acting as an agent for positive change with agility and flexibility
• Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential
• Subject matter expertise in area of focus
• Related certifications desirable
  
  

Education:

• 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; strong working knowledge of the assigned function/business/product and related laws and regulations; Advanced degree a plus
  
  

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Job Family Group:

Compliance

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Job Family:

Product Compliance Risk Management

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Time Type:

Full time

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Primary Location:

New York New York United States

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Primary Location Full Time Salary Range:

$170,000.00 - $300,000.00

In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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Most Relevant Skills

Business Acumen, Credible Challenge, Laws and Regulations, Management Reporting, Policy and Procedure, Program Management, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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Anticipated Posting Close Date:

Aug 20, 2025

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Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.

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