Compliance Product Officer - Security Services Luxembourg
Citi
Luxembourg, Luxembourg
il y a 6j

Serves as a Market and Securities Services product compliance risk officer for Independent Compliance Risk Management (ICRM) covering Securities Services business in Luxembourg responsible for assisting with, designing 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 other ICRM Product, Function and Country Compliance coverage teams, in order to partner to develop and apply Compliance Risk Management (CRM) program solutions that meet the Luxembourg Securities Services and customer needs in a manner consistent with the Citi program framework.

Primary responsibilities include providing day-to-day Compliance advice relating to the Luxembourg Securities Services business and guidance on Securities Services rules / laws and interpretation on internal policies and procedures

This role will report to a C15 level Product ICRM officer for Securities Services located in Ireland.

Key activities include :

  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Providing guidance on rules and regulations relating to Luxembourg Securities Services operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
  • Assisting with regulatory inquiries and / or examinations. This may include coordination with regulators and other parties.
  • Collaborating with other internal areas including : Legal, Business Management, Operations, Technology, Finance, other Control Functions and Risk to address compliance issues which may impact Luxembourg Securities Services
  • Supporting the Luxembourg Securities Services business in performing timely compliance reviews of new products.
  • Work with ICRM Assurance and Monitoring teams on plans for reviews on procedures and processes where required.
  • Assisting in the development and administration of Compliance training for the supported function / business / product.
  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
  • Provide day-to-day advice and support to the Securities Services business, with a particular focus on regulatory and policy issues and escalating appropriately
  • Additional duties as assigned.
  • Qualifications :

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • 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
  • Strong written and verbal communication and interpersonal skills
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Advanced analytical skills
  • Ability to both work independently and collaborate with team members
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Demonstrated 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;
  • strong working knowledge of function / business / product supported and the related operations and financial requirements

  • Preferred : MBA or JD a plus
  • Knowledge and Skills

  • Knowledge of Compliance laws, rules, regulations, risks and typologies, with a focus on CSSF regulations as they pertain to Securities Services.
  • Knowledge of Securities Services including Fund Administration& Custody
  • 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
  • Strong written and verbal communication and interpersonal skills
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Advanced analytical skills
  • Ability to both work independently and collaborate with team members
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Demonstrated knowledge in area of focus
  • Ability to operate in a remote team environment
  • Ability to build productive relationships with key internal and external stakeholders, providing effective challenge to the business.
  • Knowledge and industry experience as noted above, including preferably 2 years Compliance experience
  • Knowledge of applicable UK, Ireland and EU Regulations relating to Securities Services (preferred)
  • Related certifications desirable

    Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - LU

    Signaler cette offre d'emploi
    checkmark

    Thank you for reporting this job!

    Your feedback will help us improve the quality of our services.

    Postuler
    Mon email
    En cliquant sur « Continuer », je consens au traitement de mes données et à recevoir des alertes email, tel que détaillé dans la Politique de confidentialité de neuvoo. Je peux retirer mon consentement ou me désinscrire à tout moment.
    Continuer
    Formulaire de candidature