Compliance Manager-VP/SVP Capital Markets

Citigroup's story is well known - the first financial services company in the United States to bring together banking, insurance, investments and e-commerce, under one-umbrella. Our major brands are Citibank, CitiFinancial, Primerica, and Salomon Smith Barney. Citigroup's 270,000 employees manage 190 million customer accounts across more than 100 countries. As one of the largest financial services companies in the world, Citigroup is diverse and expansive - globally, ethnically and intellectually. We are proud to be recognized as one of the 100 Best Companies for Working Mothers (Working Mother Magazine) and one of the top US Companies for Asians, Blacks and Hispanics (Fortune Magazine). Citigroup is a company for people who want to make a difference, and who thrive in an environment of change, challenge and competition. Citigroup is an Equal Opportunity Employer M/F/D/V.



The Smith Barney Compliance department is responsible for developing and establishing policies and procedures to ensure that the Firm and its employees are in compliance with all regulatory, legal and firm policy requirements. The department also educates employees about Compliance policies, and monitors Firm and employee activities to identify potential policy violations.  The department is divided into multiple units by function or product area, including Anti-Money Laundering, Blue Sky, Branch Examinations, Client Complaints, Market Surveillance, Marketing and Advertising, Mutual Funds and Insurance, Options and Futures, Sales Practice, Regulatory, Retail Surveillance and Training and Education.  In addition, the Special Projects unit was established to assist in the increasingly complex projects that are facing the Compliance department.

 

Responsibilities:
The candidate will report to the Compliance Manager of Capital Market Compliance.  The role covers a broad range of regulatory and investment compliance functions such as: Assisting with compliance matters related to hedge fund, hedge fund of funds, registered funds, customized funds, private equity fund groups and leveraged investment businesses. IT system review and redesign, project management, etc.  Development of surveillance reports to ensure appropriate coverage of product areas such as structured products, Hedge Funds, and managed futures, etc.. Reviewing subscription documents and product proposals Assisting in the enhancement of investment guidelines Candidate is expected to engage in writing policy, performing compliance reviews and getting involved in all issues when ever possible.

In addition, this role will serve as back-up to other team members within Compliance. 



The role calls for detailed knowledge of the firm's compliance, trading systems, external rules and regulations, internal policies and procedures and a good working knowledge of financial products covering all asset classes.

At least 2-3 years of related experience with an asset management/investment advisor or hedge fund adviser a plus.
Bachelor's Degree
Systems: trading, compliance and/or accounting systems as well as Microsoft Office products and industry applications such as Bloomberg
Knowledge of the Investment Advisers '40 Act and/or private investment companies (Investment Company '40 Act exemptions for hedge funds)
Equity, futures and fixed income markets
Strong written and verbal skills.
A strong analytical background is a must.