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Associate Compliance Analyst

Company: Citi
Location: Niagara Falls
Posted on: October 2, 2019

Job Description:

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.

  • Key Activities include:
  • Assisting and supporting senior staff in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Collaborating with employees, business areas, and ICRM colleagues to timely and accurately establish and maintain required insurance licenses and securities registrations
  • Reviewing insurance and annuities transactions to ensure that employees initiating the transactions are appropriately licensed
  • Assisting with ad hoc requests and other responsibilities related to licensing and registration
  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Assisting with regulatory inquiries and/or examinations.
  • Researching rules/rule changes and implements policies, procedures or other controls necessary to comply with the rules.
  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.
  • Preparing, editing and maintaining Compliance program related materials.
  • Coordinating, track and time manage policy and training initiatives.
  • Interacting and working with other areas within ICRM, as necessary.
  • Additional duties as assigned.The individual in this position is responsible for collaborating with employees, business areas, and ICRM colleagues to timely and accurately establish and maintain required insurance licenses and securities registrations. Other key responsibilities include licensing review for annuities and insurance transactions; ensuring appropriate and secure retention of documents; creation and maintenance of reports for control, tracking, and analysis purposes. The candidate may, on occasion, also assist with set up and maintenance of securities licenses for the firms' employees.The individual may also assist with reconciliations of registration and licensing records; preparation of reports requested by businesses, internal audit, or others; researching ad hoc queries or identified problems; and may assist in compiling and reporting department metrics.--Qualifications:--- Compliance, risk management, legal or regulatory background preferred, ideally in a financial services organization; ability to read and understand applicable regulations and policies
    --- 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 helpful
    --- Excellent written and verbal communication skills, including ability to interact professionally with all levels of the organization
    --- Exceptionally strong attention to detail, organizational skills, and thorough follow-through
    --- Strong software proficiency (Excel, Word, PowerPoint)
    --- Ability to analyze and compile data from multiple sources to produce effective reports--
    --- Demonstrated work ethic, self-motivation and commitment to the highest standards of professional integrity, maturity and judgment
    --- Bachelor's degree required---------------------------------------------------------Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US------------------------------------------------------Time Type :Full time------------------------------------------------------Citi is an equal opportunity and affirmative action employer.
    Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity .To view the "EEO is the Law" poster. To view the EEO is the Law Supplement .
    To view the EEO Policy Statement .
    To view the Pay Transparency Posting .

Keywords: Citi, Niagara Falls , Associate Compliance Analyst, Professions , Niagara Falls, New York

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