Current jobs related to Senior Compliance Officer - New York, New York - Citigroup Inc

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States StoneX Group Full time

    Job Title: Senior Compliance OfficerJoin the StoneX Group as a Senior Compliance Officer and play a critical role in ensuring the firm's fixed income activities comply with regulatory requirements. As a key member of the Fixed Income Division, you will be responsible for monitoring and evaluating the firm's compliance with relevant laws and regulations.Key...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Job Title: Senior Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management...

  • Senior Compliance Officer

    4 weeks ago

    New York, New York, United States Ares Management Corporation Full time

    Job Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Develop and maintain a deep understanding of SEC...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States Ares Management Full time

    Job DescriptionAres Management is seeking a seasoned Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will focus on creating and implementing the Firm's Registered Investment Adviser program, with a strong emphasis on compliance with complex regulatory regimes.Key ResponsibilitiesCollaborate with the...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States Ares Management Corporation Full time

    Job DescriptionThe Ares Legal & Compliance Department is seeking a highly skilled Compliance professional to join our team as a Senior Compliance Officer. In this role, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program, working closely with the Chief Regulatory Officer to direct the Compliance function...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States Knot Full time

    Compliance Excellence at KnotKnot is a leading platform connecting merchants to various applications, empowering consumers and businesses alike. We're seeking a highly skilled Senior Compliance Officer to oversee and manage all compliance-related activities across technical and business compliance.As a key member of our team, you'll engage in the sales...

  • Senior Compliance Officer

    2 weeks ago

    New York, New York, United States Optima Partners Holdings LLC Full time

    Job DescriptionOptima Partners Holdings LLC is seeking a highly skilled Senior Compliance Officer to oversee client regulatory compliance matters. The ideal candidate will have a deep understanding of SEC, CFTC, NFA, and FINRA rules, as well as experience with regulatory mock examination audits.Key Responsibilities:Lead or support an entire sales cycle,...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States TD Bank Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Officer to join our team at TD Bank. As a key member of our compliance department, you will be responsible for managing regulatory examinations, providing guidance and expertise on regulatory requirements, and assisting business units in managing their regulatory risk.Key Responsibilities:Manage...

  • Senior Compliance Risk Officer

    3 weeks ago

    New York, New York, United States Citigroup Inc Full time

    Job SummaryServes as a senior product compliance risk officer 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 deliver a risk management framework that maintains risk levels within the firm's risk...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States West Side Federation for Senior and Supportive Housing Full time

    Job Title: Compliance SpecialistWest Side Federation for Senior and Supportive Housing is seeking a highly skilled Compliance Specialist to join our team. The successful candidate will be responsible for ensuring the organization's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in the completion of regular...

  • Senior Compliance Risk Officer

    2 weeks ago

    New York, New York, United States Hispanic Technology Executive Council Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Risk Officer to join our team at the Hispanic Technology Executive Council. As a key member of our Compliance and Control department, you will be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.Key...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Millennium Management Corp Full time

    Job Title: Compliance OfficerMillennium Management Corp is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring the Firm's global Quantitative Trading Compliance program is effective and compliant with regulatory requirements.Key Responsibilities:Assist in the...

  • Senior Compliance Risk Officer

    2 weeks ago

    New York, New York, United States Citigroup Inc Full time

    Job Summary:Citigroup Inc. is seeking a highly skilled Senior Compliance Risk Officer to join our team. As a key member of our Independent Compliance Risk Management (ICRM) department, you will be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.Key...

  • Senior Compliance Officer

    4 weeks ago

    New York, New York, United States Tandym Group Full time

    An asset management firm in New York City is seeking a Senior Compliance Professional to join their team in Manhattan.Key Responsibilities:Compliance Strategy:Develop and implement action plans to ensure company compliance, prevent violations, and address systemic compliance issues across internal departments and external service providers.Regulatory...

  • Senior Compliance Officer

    4 weeks ago

    New York, New York, United States Hispanic Technology Executive Council Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Officer - Swap Dealer to join our team. As a key member of our Compliance and Control department, you will be responsible for ensuring that our Swap Dealer business operates in compliance with relevant laws, regulations, and internal policies.Key ResponsibilitiesDesign, develop, and maintain...

  • Senior Compliance Officer

    2 weeks ago

    New York, New York, United States Faire Inc Full time

    About Faire Inc.Faire is an online wholesale marketplace that empowers entrepreneurs to grow their businesses. We believe in leveling the playing field for small businesses and connecting them with the best products from around the world.Job DescriptionWe are seeking a Senior Compliance Officer to join our legal department. This role will be responsible for...

  • Senior Compliance Officer

    4 weeks ago

    New York, New York, United States Citigroup Inc Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Officer to join our team in New York. As a key member of our Independent Compliance Risk Management (ICRM) team, you will be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a...

  • Senior Title IX Compliance Officer

    2 weeks ago

    New York, New York, United States Quality Healthcare Staffing Full time

    Job Position:Firm Lead Representative - Title IX SpecialistJob Summary:Quality Healthcare Staffing is seeking a highly experienced Senior Title IX Compliance Officer to join our team. As a key member of our compliance department, you will be responsible for maintaining control over work duties, schedules, and performance of designated employees and key team...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Department For The Aging Full time

    The Department for the Aging seeks a highly motivated Senior Manager with broad-based experience in compliance, internal and external audit, financial reporting, and programmatic fiscal processes to serve as Chief Compliance Officer.Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States West Side Federation for Senior and Supportive Housing Full time

    Job SummaryThe Compliance Specialist will assist in achieving quality compliance with the requirements of the WSFSSH's external funders and regulators, thereby safeguarding WSFSSH's assets and income streams, and meeting WSFSSH's high standards for excellence in this sphere. The Compliance Specialist will interact extensively with both external stakeholders...

Senior Compliance Officer

2 months ago

New York, New York, United States Citigroup Inc Full time
Job Summary

We are seeking a highly skilled and experienced Senior Compliance Officer to join our team at Citigroup Inc. in New York. The successful candidate will be responsible for establishing 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.

Key Responsibilities
  • Monitor compliance risk behaviors and provide day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported product and the associated regulatory rules/laws and interpretation on internal policies and procedures.
  • Engage with the ICRM product and function coverage teams to partner to develop and apply CRM program solutions that meet the product and customer needs in a manner consistent with the Citi program framework.
  • Design, develop, deliver, and maintain best-in-class Swap Dealer Compliance, programs, policies, and practices for ICRM.
  • Translate ICRM strategy and goals across Citi's clients, products, and geographies in a succinct and clear manner; provide direction and guidance on the programs.
  • Analyse and scope the impact of new and complex Swaps regulatory developments across senior function/business/product, including cross-border impact.
  • Serve as a subject matter expert on Citi's Compliance programs. Provides expert guidance on swaps regulations on a real-time basis to manage compliance risk.
  • Oversee the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to swaps.
  • Stay abreast of relevant changes to swaps rules/regulations and other industry news including regulatory findings.
  • Advise ICRM and Swap Dealer management and personnel on regulatory and compliance issues and provide credible challenge.
  • Lead initiatives and manage high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
  • Manage strategy and responses to regulatory examinations, reviews, and inquiries and internal and external investigations, as well as testing and audit.
  • Design and lead compliance and control reviews.
  • Partner with other ICRM teams and global functions, including Legal, Risk, Operations, and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.
  • Participate in industry groups and trade association working groups or other forums.
Requirements
  • Expertise of Compliance in Swaps/Securities laws, rules, regulations, risks, and typologies.
  • Excellent written, verbal, and analytical skills.
  • Must be a self-starter, flexible, innovative, and adaptive.
  • Highly motivated, strong attention to detail, team-oriented, organized.
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level.
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of swaps regulatory requirements including local and US laws, international, and industry standard.
  • Advanced knowledge in Swaps regulation.
Education

Bachelor's degree; experience in swaps compliance, legal, regulatory operations, or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in swaps products; strong working knowledge of swaps and the related operations and requirements (e.g., SDR, Margin, and Capital Requirements for Covered Swap Entities, Portfolio Reconciliation, Confirmation, Mandatory Clearing, among others).

Advanced degree (e.g. JD, MBA) strongly preferred.