Equities Compliance Product Director
Serves as a senior function/business/product compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for 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 with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework.
Responsibilities:
- Providing compliance coverageacross our Equitiesbusiness offering.
- Provides compliance guidance on laws, rules and regulations relating to operational issues, transactional guidance, need and implementation of controls, and the application of internal compliance policies for day-to-day activities.
- Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for Equities ICRM.
- Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the Equities business 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 business/product/function.
- 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 business/product/function.
- Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the business/product/function supported.
- Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned business/product/function, including cross-border impact.
- Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
- 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
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 Equities Compliance laws, rules, regulations, risks and appropriate controls, including but not limited to EMEA MAR, SEC 15c3-5, and Global Short Sale regulations
- 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, including appropriate recommendations related to systematic controls
- Ability to influence and coordinate with people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business
- Experience with and previous exposure to internal or external control functions and regulators
- Ability to challenge Business 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
- Minimum of 8 years of Compliance experience in Equities
- Strong project management skills related to complex projects with multiple global stakeholders.
Education:
- Bachelor’s degree; experience in compliance or legal with a focus on Equities in a 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, rules and regulations, Advanced degree preferred
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Job Family Group:
Compliance------------------------------------------------------
Job Family:
Business Compliance Risk Management------------------------------------------------------
Time Type:
Full time------------------------------------------------------
Primary Location:
New York New York United States------------------------------------------------------
Primary Location Full Time Salary Range:
$170,000.00 - $300,000.00In 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
Analytical Thinking, Business Acumen, Credible Challenge, Digital Skills (Including AI), Laws and Regulations, Process Execution, Program Management, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment.------------------------------------------------------
Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.------------------------------------------------------
Anticipated Posting Close Date:
Sep 02, 2026------------------------------------------------------
Automated Processing and AI
We use automated processing, including artificial intelligence, for our legitimate business interests (or our reasonable and appropriate business purposes) to identify and align the candidate's skills and abilities with a specific job opening. Additionally, if you so choose, or consent, we can match your skills and abilities to other suitable roles at Citi.
Importantly, all our hiring processes and decisions, including determining your suitability for a role, are conducted, checked, and decided by individuals. Our automated processing and AI do not involve relying on automatic or autonomous decision-making. Please refer to any Jurisdictional Considerations, with specific provisions for your country (where relevant) for further details.
Illinois residents - AI Notice and Right
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