Job
Description
You will be serving as a function/business/product compliance risk senior analyst for Independent Compliance Risk Management (ICRM). Your responsibilities include assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of laws, rules, or regulations. You will design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. Additionally, you will engage with the ICRM Product and Function coverage teams to develop and apply CRM program solutions that meet the function/business/product and customer needs. Your primary responsibilities will involve monitoring compliance risk behaviors, providing day-to-day Compliance advice, and offering guidance on function/business/product rules and laws. Responsibilities: - Assisting in the design, development, delivery, and maintenance of best-in-class Compliance programs, policies, and practices for ICRM - Assisting with regulatory inquiries and/or examinations - Collaborating with internal areas such as Legal, Business Management, Operations, Technology, Finance, and other Control Functions to address compliance issues - Supporting the business in performing timely compliance reviews of new transactions and/or products - Assisting in the development and administration of Compliance training - Researching rules and rule changes and implementing necessary policies, procedures, or controls to comply with regulations - Additional duties as assigned Qualifications: - Working knowledge of Compliance laws, rules, regulations, risks, and typologies in the supported function/business/product - Excellent written and verbal communication skills - Must be a self-starter, flexible, innovative, and adaptive - Strong interpersonal skills and ability to work collaboratively with people at all levels of the organization - Ability to work with regional and global partners in other functional units - Excellent project management and organizational skills, capable of handling multiple projects simultaneously - Proficient in MS Office applications (Excel, Word, PowerPoint) - Knowledge in the area of focus - Relevant 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 - Advanced degree a plus Citigroup Global Markets (India) Private Limited (CGM India) is a SEBI regulated entity in India, offering stock broking, investment banking, and research services to institutional/large corporate clients. CGM India is highly regulated by SEBI and the Exchanges, with complex and frequently changing regulations. Role Outline: - Ensure Compliance of local regulatory requirements and understand SEBI Stock Broking regulations and rules of the Exchanges - Provide Compliance operational support, monitor circulars/notices, attend to trade surveillance matters, and adhere to internal policies and procedures - Stay updated on changes to rules/regulations and industry news - Analyze the impact of new regulatory developments across CGM India products - Advise on regulatory and compliance issues, provide credible challenge, manage inspections/audits, and handle AML matters Experience: - 5+ years of relevant experience If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity, review Accessibility at Citi.,
