Head Of North America Research Compliance

Profile

Head of North America Research Compliance
Duties: Providing compliance coverage to an assigned function/business/product. 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. Provide subject matter expertise and guidance to senior stakeholders in the US Citi Research business in various areas, including: Equity and Fixed Income research products and related rules and regulations, Global Research Settlement, Research independence and information barriers, Section 5, CFTC Research Conflict of Interest Rules, FINRA rules including, 2210, 2241 and 2242, and relevant global regulations such as MAR, MIFID and ASIC rules relating to research. Managing a team of multiple teams of Compliance professionals. Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit’s role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs. Mentoring and developing junior staff. Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for 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 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 US Citi Research businesses 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 US Citi Research 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 US Citi Research business. Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the Citi Research business. Analyzing and scoping the impact including applicability of new and complex regulatory developments across the Citi Research business, 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.

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