Compliance Product Officer Wealth Markets

Citi • Jersey City, NJ

13d • $142,320 - $213,480 • Hybrid

About The Position

The Vice President, Wealth Markets Product Compliance Risk Officer is a role within Independent Compliance Risk Management (ICRM), responsible for providing Compliance advisory coverage to the Wealth Markets business. The role supports Wealth Markets desks by partnering with business management, Legal and other control functions to design, implement and maintain a robust compliance risk management framework that is aligned with Citi’s risk appetite and protects the franchise. The successful candidate will serve as a trusted advisor to the business, providing day‑to‑day Compliance guidance on complex products and transactions, with a particular focus on structured notes, FX and Commodities products, and related regulatory requirements. The role requires strong technical knowledge, sound judgment, and the ability to effectively challenge and influence stakeholders in a fast‑paced product development and distribution environment.

Requirements

• 6-10 years experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
• Knowledge of relevant Compliance laws, rules, regulations, risks and typologies applicable to Wealth Markets products, including FINRA requirements and Regulation Best Interest as they relate to products and desk activities.
• Demonstrated knowledge of structured notes and complex investment products.
• Solid understanding of FX and Commodities products, including spot, forward, swap, options and structured transactions.
• Strong interpersonal skills with the ability to work collaboratively with stakeholders at all levels of the organization.
• Strong written and verbal communication skills, with the ability to clearly articulate complex regulatory concepts.
• Strong analytical, organizational and problem‑solving skills, with the ability to manage multiple priorities simultaneously.
• Ability to work both collaboratively and independently and to navigate a complex organization.
• Excellent project management skills and attention to detail.
• Proficiency in Microsoft Office applications (Excel, Word, PowerPoint).
• Demonstrated knowledge and experience in the relevant area of coverage.

Nice To Haves

• Advanced degree a plus

Responsibilities

• Serve as a Compliance Risk Officer for Wealth Markets desks, providing advisory coverage on compliance risk, regulatory interpretation, and control environment matters.
• Provide guidance on laws, rules, regulations, internal policies, and procedures applicable to Wealth Markets products and activities, including: Structured notes and structured investments (equity, rates, FX‑linked and other asset classes), FX and Commodities products, including spot, forwards, swaps, options, and structured solutions, Equities, Fixed Income products, Syndicate activity and Derivatives, as applicable.
• Support the Wealth Markets business in performing timely compliance reviews of new products and product programs, including assessment of product design, target market, investor eligibility criteria, and distribution framework.
• Monitor compliance risks associated with in-scope product development, structuring, and execution, and provide timely, practical guidance to ensure adherence to applicable regulatory and internal requirements.
• Partner closely with Legal, Business Management, Operations, Technology, Finance, In‑Business Risk, and other Control Functions to identify, assess, and remediate compliance risks.
• Assist in managing regulatory inquiries, examinations and information requests, including coordination with regulators and internal stakeholders.
• Support the development, implementation and delivery of Compliance policies, procedures, standards and training programs for Wealth Markets and Investments.
• Stay current on regulatory developments and industry trends, including SEC and FINRA rule changes, and relevant guidance applicable to in‑scope products, driving implementation of required controls, processes or policy enhancements.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for Citi’s reputation and franchise, and ensure issues are escalated, managed and reported transparently in accordance with Citi policies.
• Perform other duties and special projects as assigned.

Benefits

• medical, dental & vision coverage
• 401(k)
• life, accident, and disability insurance
• wellness programs
• paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Manager