Compl Product Intmd Assoc Analyst- Registration

Serves as a function/business/product compliance 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 the function/business/product 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 the supported function/business/product and guidance on function/business/product rules/laws.

Citi's Registration team, a department within Independent Compliance Risk Management (ICRM), manages the registration and insurance licensing processes for Citi's U.S. broker/dealer entities, FCM and insurance agency, including registrations/licenses for more than 850 branch offices, 7,400 registered representatives, and 1,900 insurance licenses. The department's primary responsibilities include: filing branch office registrations; pre-hire checks, initial filing, maintenance, and termination of individuals' registrations/licenses; filing regulatory disclosures; monitoring completion of continuing education; ordering examination study materials; and processing payments related to registration and licensing.

Key Activities include:

• Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM, such as

• Working with businesses and ICRM to timely and accurately establish and maintain required securities registrations and reviewing existing registrations against requirements for identified activities
• Ordering licensing preparation materials for employees and assuring accurate billing
• Creating and maintaining reports used for control, tracking and analysis purposes
• Processing action items and control reports to recognize and remediate areas of concern
• Assisting with reconciliations of registration and licensing records and preparing reports for business users
• Collaborating with other internal areas as needed to address compliance issues which may impact registration/licensing

• Granting and monitoring system entitlements to regulators’ systems (e.g., FINRA and the NFA)
• Performing periodic reconciliations of internal registration and licensing data against comparable data in regulators’ systems to identify and resolve discrepancies; performing additional reconciliations, data analyses, and reporting, as needed/directed
• Assisting with regulatory inquiries and/or examinations.
• Auditing work performed by a vendor on behalf of the Registration and Licensing Department

• 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 supported function/business/product.
• Preparing, editing and maintaining Compliance program related materials
• Assisting in the development and administration of Compliance training for the supported function/business/product.

• Researching rules and rule changes and assisting in implementing policies, procedures or other controls necessary to comply with the rules/regulations.
• Additional duties as assigned, including assisting in establishment and maintenance of registrations/licenses through execution of various departmental processes; completing ad hoc projects, as needed

Education level

Required:

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

Preferred: Advanced degree (e.g. JD, MBA) a plus

Knowledge and skills

• Required:
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• 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)
• Exceptionally strong attention to detail, organizational skills, and thorough follow-through
• Strong interpersonal skills for interfacing with all levels of internal and external audit and management
• Some knowledge in area of focus

Preferred:

• Understanding of securities, investment adviser and/or insurance industry highly desirable
• Experience in a registration/licensing function of a broker/dealer and/or insurance agency desirable

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