Job Description

The Compl Bus Control Sr Analyst is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.

Responsibilities:

* Participates from inception through implementation, in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
* Utilizes Issue Management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
* May support any area of the business (organizationally, regionally or product-wise) from an issue/project perspective; regular engagement with Senior Business Level Officers, Legal, Risk, and Compliance regarding complex matters.
* Initiates and develops relationships with others throughout the business unit and the company in order to identify and understand business needs
* Implement solutions to improve effectiveness and results
* Ensure a culture of accountability, integrity and respect
* Works issues/projects as assigned to support improvements
* Identify and analyze escalated problems and provide guidance for resolution
* Negotiate solutions and acts as a liaison with internal and external clients
* Monitor, research and evaluate technological advances in the industry to identify appropriate alternatives for enhancing current department operations
* Evaluate cost/benefits, make recommendations, develop and oversee implementation plans
* Provides judgment based on analysis of factual information in complicated and unique situations
* Directly impacts the area through shared responsibility for delivery of end results
* Implement and develop controls to prevent risk within specialized business
* Analyzes and identifies risk and performs analytical reporting
* Acts as a consultant to the businesses regarding processes & controls
* Drives corrective actions
* Provides support to business activity owners and Third Party Risk and Control functions
* Coordinates and assists with onsite reviews
* Completion of compliance documentation and on boarding activities relevant to compliance due diligence.
* Has the ability to operate with a limited level of direct supervision.
* Can exercise independence of judgement and autonomy.
* Acts as SME to senior stakeholders and /or other team members.
* Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

* 5-8 years of control and/or project experience
* High attention to detail and quality
* Demonstrated analytical and problem-solving skills.
* Effective planning and organizational skills
* Proficient in Microsoft Office with an emphasis on MS Excel
* Consistently demonstrates clear and concise written and verbal communication skills
* Proven ability to make sound business decisions
* Experience in creating and implementing processes that result in improved business performance
* Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view
* Required Licensing/Registration: Series 7, Series 9, Series 10, Series 24,

Education:

* Bachelors/University degree or equivalent experience

* Review life insurance and annuity transactions, including Replacement and NY State Regulation 60 and NY Regulation 187 transactions for completeness of forms, documentation of disclosures to clients, compliance with Firm policies, procedures and applicable regulatory requirements.
* Evaluate proposed transaction and determine appropriateness of proposed transaction, including an analysis of any proposed exchange/replacement transaction.
* Verify information provided on transaction review forms by contacting the insurance companies, Financial Advisor or by referencing product material.
Determine whether a proposed transaction may proceed based on compliance with Firm policies, procedures, applicable regulatory requirements, cost/benefit for the client analysis and overall transaction suitability determination.
* Evaluate proposed transactions with Financial Advisors and sales/supervisory management and advise them accordingly on appropriateness of proposed investment strategy for the client.
* Maintain accurate records of cases reviewed and their disposition.
* Responsible for staying informed of annuity and insurance product changes, closures, rate changes and evaluating impact on reviews.
* Responsible for maintaining an awareness of relevant investment products and services, communications rules and regulations, as well as Firm processes and procedures.
* Responsible for conducting a principal review of external product marketing materials, including Third Party brochures, presentations, fact cards and other designated materials as assigned.
* Responsible for maintaining records of approvals as required by regulators and in accordance with Firm policy.
* Other duties as assigned.

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Job Family Group:

Compliance and Control

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Job Family:

Business Control

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Time Type:

Full time

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Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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