Compliance Officer

Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic.JOB SUMMARY: The candidate should have general securities compliance experience of around 5+ years and have broad mutual funds knowledge.  The primary responsibility of the position is mutual fund transactional surveillance, paying particular attention to regulatory/prospectus violations.  Candidates should have an understanding of mutual fund related issues (e.g., ROA, Breakpoints, LOIs, Repurchases, market timing, etc) in order to evaluate whether mutual fund transactions are executed in accordance to internal policies and procedures, relevant regulatory requirements, and prospectus provisions.  The candidate will contribute to the design, establishment, implementation, and revision of compliance systems, polices and procedures.  Ability to work well with others and to be a team player is a very important qualification. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review of daily mutual fund retail surveillance reports for compliance issues. Contribute to the design, establishment, implementation, and revision of compliance systems, polices and procedures. Routinely work with Compliance/Branch Management to resolve various compliance related issues. The candidate will also participate in targeted and ad hoc compliance reviews of registered representatives as necessary. Contribute to regulatory response requests. Knowledge and experience with Mutual Funds. Minimum of 5+ years related working experience. Focused attention to detail and written documentation Proficient in various computer systems and software applications, such as MS Excel/Word etc, as well as the ability to learn new systems and software programs. Works well in a team environment. Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas Excellent communications (verbal and written) and presentation skills. Possess strong written, verbal, analytical, and project management skills. Series 7, 24, and 9/10 a plus. BA/BS College degree is required