Senior Compliance Analyst - CPB Marketing','18033637','!*!Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi’s Mission and Value Proposition explain what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.
This is an AVP level role within Independent Compliance Risk Management (ICRM) supporting the Citi Private Bank Marketing review team. Will be responsible for reviewing marketing materials for compliance with highly complex regulatory and procedural requirements that receive material scrutiny from the SEC and FINRA.
Products covered under this position include: Asset Liabilities (Leverage), Structured Products, Investment Advisory, Capital Markets, Equities and Fixed Income Traditional Investment communications.
Average number of pages reviewed per month include: 1000 pages. Expectations from the SEC and FINRA are that independent ICRM staff review these materials.
Preparation and review of FINRA-related filings
Review CPB strategic asset allocation communications (i.e. Adaptive Valuation Strategies) and Portfolio Analytics.
Review of Custom Reporting client requests.
Review of Capital Markets customized client materials originating from desks in the US/LATAM.
New Product Review of DPAC / Alternative Handling Committee materials.
Review of CPB website and In View content.
Analysis of Investment Analytics Tool generated materials.
Evaluation of Global Product Marketing materials and public-facing materials.','!*!A Bachelor's degree is required and the ideal candidate will have 2-3 years of hands on communications review experience along with 3 years of industry experience. Prefer knowledge of FINRA and SEC regulation dealing with communications guidelines. Knowledge of various products including regulatory review of Structured Products, Investment Advisory, and Capital Markets also preferred.','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','NAM-USA-FL-Tampa','','Compliance and Control','Full-time','Bachelor's Degree','Day Job','Regular','No','','','Senior Compliance Analyst - CPB Marketing'
Website : http://www.citigroup.com
Citi works tirelessly to provide consumers, corporations, governments and institutions with a broad range of financial products and services. We strive to create the best outcomes for our clients and customers with financial solutions that are simple, creative and responsible.