Compliance Director-Regulatory Unit Manager (Retail Investments) - (14030493)

Company Name:
Paramount Solutions Inc

Provide regulatory examination management coverage for CGMI retail investments lines of business, including Citi Personal Wealth Management (CPWM) and Citi Personal Investments (CPII) and CPB retail investments. Provide regulatory specialist support/advice to compliance teams and business management in support of ongoing and anticipated examinations, proposed rules, regulatory guidance and developments, and securities regulatory training for licensed personnel.
Key responsibilities include:
Oversee CGMI retail investments regulatory examinations process, including responses to information requests, document production, regulatory communications, planning and preparation for meetings and presentations, and overall exam management coordination with relevant individuals at Citi across lines of business and functions
Manage rules implementation process for retail investment activities, including notification of proposed rules and guidance, coordinate assessment of requirements, and oversight of implementation through rules implementation committee and working groups.
Provide support for RCM process relative to rules inventory
Conduct needs analysis, identify and implement annual training program for retail investments licensed personnel. Consult across lines of business and functions to conduct assessments and development of content
Communicate status of regulatory exams, rules implementation and compliance training through both periodic reports and participation in management meetings and committees.


10+ years of experience with retail securities/investment advisory regulatory activities; at least 5 of which involve regulatory examinations
Bachelor's degree or higher; law degree desirable
Strong knowledge of retail broker-dealer retail and investment adviser compliance requirements, laws and regulations;
Solid working knowledge of wealth management products and services,
Strong risk assessment, analytical, decision making, interpersonal, presentation, and written/verbal communication skills;
Able to work effectively with business management and staff, and with a matrixed organization of Compliance colleagues;
Goal oriented team player who treats others with dignity and respect; and
Strong organizational skills
Able to engage others in open, honest dialogue and directly addresses conflict when it arises.

Job Posting : Feb 20, 2015, 4:13:52 PM
Primary Location : NAM-USA-NY-Long Island City
Other Locations : NAM-USA-NY-New York
Job Category : Compliance and Control
Education Level : Bachelor's Degree
Employee Status : Regular
Travel : No

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