Compliance Product Sr Analyst - C12 - MUMBAI

Serves as a function/business/product compliance risk senior 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.
Responsibilities:

• Provide guidance and support to facilitate transactional conflict clearance process.
• Communicate with Legal and Business Selection to ensure timely and accurate clearance of transactions.
• Analyse firm’s touchpoints to determine potential conflicts of interest.
• Provide advice and maintaining the Firm's various information barriers, through policies and procedures reasonably designed to prevent the misuse of material non-public information ("MNPI"), also known as non-public price-sensitive or ‘inside information’.
• Provide guidance on rules and regulations relating to Research operational issues, as well as providing transactional approvals and interpretations of internal compliance policies.
• Identify, evaluate, and resolve issues related to the publication of Investment Research product.
• Respond to questions from Research analysts, Research management and investment bankers regarding issues related to Research product and the capital formation process.
• Review and approve Research analysts’ requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241.
• Chaperone and track authorized discussions between research analysts and investment bankers and monitoring such communications during the capital formation process.

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 with the ability to work collaboratively and with people at all levels of the organization
• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledge in 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; experience in area of focus; Advanced degree a plus

Citi’s Independent Compliance Risk Management Department provides compliance coverage for a wide range of financial products and services spanning Citi’s Asia Pacific business regions.
A leading provider of financial services and investment banking opportunities to financial institutions and corporate clients, governments and
retail banking clients and with a global presence spanning 100 countries and a legacy reaching back over 200 years, Citi is uniquely qualified
to provide services to clients with both local and cross border interests.
In particular, Citi Research produces research on securities and provides this research to institutional clients. The Conflicts & Information
Barrier Advisory Group reviews the research products before they are sent to clients to identify and address any problematic legal, regulatory
and reputational issues.
Additionally, Citi’s Corporate Finance businesses throughout Asia Pacific undertake a variety of sensitive and confidential transactions. To
comply with relevant law and regulation, the Conflicts & Information Barrier Advisory group is responsible for identifying potential conflicts of
interest and following close analysis and discussion, taking action to avoid conflicting activities between the Firm’s various businesses. The
team also provides advisory support in relation to regulatory requirements to business employees, including research analysts, investment
bankers and sales & trading staff.
The Conflicts & Information Barrier Advisory Group is a global team based in Sydney, Hong Kong, Mumbai, Belfast, New York and Tokyo.
The team works closely together, and also with other ICRM colleagues as well as with internal and external legal counsel across the regions,
tracking legal and regulatory changes in order to keep conflict management systems and policies up to date.

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