Director, Product Compliance Sr. Officer - Cash Equities Sales and Trading - C15 (New York) - Citi : Job Details

Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. Providing compliance coverage and compliance leadership to the Cash Equities businesses. Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities;Directing and implementing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across Citis clients, products and geographies; provides direction and guidance on the programs. Staying abreast of relevant changes to rules/regulations, exchange rulebooks and other industry news including regulatory findings. Providing oversight and guidance over the assessment of complex issues, structures potential solu...Compliance, Director, Officer, Equities, Product, Sales, Banking, Business Services