Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:
lead a team of compliance subject-matter experts for the Equities Division of the Investment Bank (IB)
understand the business, key risks, regulations and technology impacting the business
establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
actively participate in governance forums, committees, or new business initiatives
engage the business daily in communications and trainings to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
work closely with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
ensure compliance risk frameworks are designed well and operating effectively
VIEW JOBS9/7/2019 12:00:00 AM2019-12-06T00:00Serves as a senior US Citi Research compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet function/business/product and customer needs in a manner consistent with the Citi program framework.
Key Activities include:
* Providing compliance coverage to the US Citi Research businesses. Provides compliance guidance on Research rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities;
* Provide subject matter expertise and guidance to senior stakeholders in the US Citi Research business in various areas, including: Equity and Fixed Income research products and related rules and regulations, Global Research Settlement, Research independence and information barriers, Section 5, CFTC Research Conflict of Interest Rules, FINRA rules including, 2210, 2241 and 2242, and relevant global regulations such as MAR, MIFID and ASIC rules relating to research.
* Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi's clients, products and geographies; provides direction and guidance on the programs.
* Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
* Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders. Provides advice to the US Citi Research businesses on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
* Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the assigned function/business/product.
* Supporting the US Citi Research business in performing timely compliance reviews of new transactions and/or products
* Managing ICRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts;
* Assisting in the development and administration of Compliance training for the US Citi Research business.
* Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the Citi Research business.
* Analyzing and scoping the impact including applicability of new and complex regulatory developments across the Citi Research business, including cross-border impact.
* Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
* Mentoring and developing junior staff.
* Participating in industry groups and trade association working groups or other forums;
* Additional duties as assigned.
* Highly motivated, strong attention to detail, team oriented, organized
* Excellent written, verbal and analytical skills
* Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
* Ability to interact and communicate effectively with senior leaders
* Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls
* Experience in the design and implementation of Compliance programs
* Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
* Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business/Function
* Experience with and previous exposure to internal or external control functions and regulators
* Ability to challenge Business/Function management and escalate issues when appropriate
* Strong track record of effectively assessing and managing competing priorities
* Comfortable navigating complex, highly-matrixed organizations
* Comfortable acting as an agent for positive change with agility and flexibility
* Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential
* Subject matter expertise in area of focus
* Expertise in Equity and Fixed Income research products and related rules and regulations, Global Research Settlement, Research independence and information barriers, CFTC Research Conflict of Interest Rules, FINRA rules including, 2210, 2241 and 2242 and applicable global regulations.
* Required: Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of Equity and Fixed Income Research Products and related laws and regulations
* Preferred: Advanced degree (e.g. JD, MBA)
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
Time Type :
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Citigroup Inc.New YorkNY
VIEW JOBS9/13/2019 12:00:00 AM2019-12-12T00:00Job Description:
Dow Jones Newswires and The Wall Street Journal are looking for a stock market reporter to provide real-time coverage and analysis of global equities and exchange-traded funds for a professional audience of institutional investors, active traders and financial advisers. The equities and ETFs reporter will need to understand markets, investing strategy and trading, and be able to write quickly on market-moving news. The goals are to offer fast, smart analysis and to help readers understand what's driving stocks and other financial markets.
Real-time reporting experience and markets knowledge are mandatory. The right candidate will be passionate about stocks and and have a sense of urgency about covering market moves. This role will involve cultivating sources among traders and key market players to bring fresh insights that explain the swings in individual shares and broader indices.
The job will be based in New York.
Dow Jones , Making Careers Newsworthy
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, or disability status. EEO/AA/M/F/Disabled/Vets .
Dow Jones is committed to providing reasonable accommodation for qualified individuals with disabilities, in our job application and/or interview process. If you need assistance or accommodation in completing your application, due to a disability, please reach out to us at TalentResourceTeam@dowjones.com . Please put "Reasonable Accommodation" in the subject line.
Business Area: NEWS/WSJ
Job Category: News/Editorial Group
The Wall Street Journal is a global news organization that provides leading news, information, commentary and analysis. The Wall Street Journal engages readers across print, digital, mobile, social, and video. Building on its heritage as the preeminent source of global business and financial news, the Journal includes coverage of U.S. and world news, politics, arts, culture, lifestyle, sports, and health. It holds 38 Pulitzer Prizes for outstanding journalism. The Wall Street Journal is published by Dow Jones, a division of News Corp (NASDAQ: NWS, NWSA; ASX: NWS, NWSLV).
If you are a current employee at Dow Jones, do not apply here. Please go to the Career section on your Workday homepage and view "Find Jobs - Dow Jones." Thank you.
Req ID: 17677
Dow JonesNew YorkNY
VIEW JOBS9/12/2019 12:00:00 AM2019-12-11T00:00VP Quantitative Analyst – Equities
745 Seventh Ave, New York, NY
The QA Equity Products team supports modeling efforts needed by our equity business covering the market data discovery, vanilla, detla1, equity financing, vol products and convertible pricing and risking. The VP will need to contribute to the majority of these areas. He/she will research, implement, prototype & document pricing models, discuss with key stakeholders and drive the end to end delivery.
What will you be doing?
* Designing, developing and maintaining of our models and infrastructure components
* Liaising with Front Office and Technology to deploy new and strategic pricing risk library to production
* Designing, implementing, and back-testing tools needed by our trading desks in their day-to-day activities (ranging from market data discovery, to alternative risk views, to signal generation)
What we're looking for:
* Master's or PhD in a quantitative field (Mathematics/Physics/Computer Science/Engineering)
* 3 years of experience in a quantitative role
* 3 years of experience working in C /Python
Skills that will help you in the role:
* Familiarity and practical experience with techniques such as machine learning, data mining
* Experience with cross-platform development (Windows/Linux)
* Strong analytical and numerical skills; good written and verbal communication
* Practical experience with equity derivatives (in particular: volatility fitting, vol products experience)
Where will you be working?
Barclays' U.S. headquarters is located at 745 Seventh Avenue in New York, NY. At Barclays, we offer you an engaging and challenging environment, giving you the opportunity to make the most of your unique set of skills. We also have an extensive range of learning and development initiatives designed to support you both personally and professionally.
Interested and want to know more about Barclays? Visit home.barclays/who-we-are/ for more details.
Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. Our values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our colleagues. Simply put, success is not just about what you achieve, but about how you achieve it.
We aim to foster a culture where individuals of all backgrounds feel confident in bringing their whole selves to work, feel included and their talents are nurtured, empowering them to contribute fully to our vision and goals.
It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.
Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.
Our customers are unique. The same goes for our colleagues. That's why at Barclays we offer a range of benefits, allowing every colleague to choose the best options for their personal circumstances. These include a competitive salary and pension, health care and all the tools, technology and support to help you become the very best you can be. We are proud of our dynamic working options for colleagues. If you have a need for flexibility then please discuss this with us.
Barclays BankNew YorkNY