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Asst. Officer, Legal Control Job Details
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| Asst. Officer, Legal Control (Ref: 11018773) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | Citigroup |
| Location: | EMEA-United Kingdom Europe, UK |
| Employment Type: | Permanent |
| Job Description: |
The Legal Control Group is responsible for the management of conflicts of interest within Citi. This team maintains the information barriers ("Chinese Walls") which operate between the Firm's public and private side businesses and in doing so ensure compliance with internal policies, external regulation and legal requirements. The role primarily involves identifying potential conflicts and following close analysis and discussion, taking action to avoid conflicting activities between the Firm's various businesses. The team also provides advisory support in relation to legal and regulatory obligations to business employees across Europe, the Middle East and Africa, including research analysts, investment bankers and sales & trading staff. The team works closely on a regular basis with the wider LCG function based in London, New York, Tokyo, Hong Kong and Sydney as well as with external legal counsel across the regions, tracking legal and regulatory changes across the globe in order to keep our conflict management systems and policies up to date. The role is pressurised and may require a shift pattern to be adhered to providing flexibility especially during busy reporting periods throughout the year. If you are talented and highly motivated and think you have the individual potential while at the same time being able to perform as an integrated member of the team then come and join us. Job Background/context: Key Responsibilities:Citi's Legal and Compliance Department in Belfast is a department of approximately 70 professionals working closely with our London Legal Department based in Canary Wharf and providing legal and compliance coverage for a wide range of financial products and services spanning Citi's Europe, Middle East and Africa (EMEA) business regions. A leading provider of financial services and investment banking opportunities to financial institutions and corporate clients, governments and retail banking clients and with a global presence spanning 90 countries and a legacy reaching back almost 200 years Citi is uniquely qualified to provide services to clients with both local and cross border interests. In particular Citi Investment Research produces research on European stocks/shares and provides this research to institutional clients. The LCG reviews the research products before they are sent to clients to identify and address any problematic legal, regulatory and reputational issues. Additionally Citi Corporate Finance businesses throughout EMEA undertake a variety of sensitive and confidential transactions. To comply with relevant law and regulation including EU Market Abuse regulation the LCG is responsible for maintaining details of sensitive transactions on the Firm's watch and restricted lists, and for the surveillance of Firm activity primarily in the trading environment in respect of securities on the Firm's watch and restricted lists. An appropriate determination as to the transactions' characteristics and associated choice of watch and restricted list category is a key part of the function. ? Reviewing research products to identify known compliance sensitive companies and situations. ? Contacting transactors across EMEA to obtain updates on registered transactions and making appropriate changes to the Firms systems to correctly mitigate relevant legal and regulatory risk. ? Surveillance of the Firm's trading systems for watch list and restricted list securities and escalating red flag situations, where suspicious transactions are identified. ? Assisting in key processes incl Risk Assessment testing and performance tracking. ? Document management. ? Maintenance of the LCG logs (for example on Chinese Wall breaches) ? Issuing insider notices to persons logged OTW. ? Provide assistance on ad hoc projects. Knowledge/Experience: ? Experience of working in a detail sensitive pressurised environment, preferably within the financial services or legal industries is a bonus but not essential as comprehensive training will be provided. Qualifications: ? Educated to degree level (minimum 2.1) or equivalent preferably in economics/law or similar. ? Post graduate legal qualification a positive but not essential. Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Skills: ? Strong verbal and written communication skills ? Excellent critical reasoning/analytical skills ? Good interpersonal skills Competencies ? Strong attention to detail and high levels of accuracy ? Team player ? Punctual attendance ? Self starter who can identify problems and develop solutions ? Work effectively under pressure and to tight deadlines ? Self confident and able to prioritise own work flow and assist with the priorities of others. ? Highly computer literate ? Willingness to assume responsibility ? Flexibility to react to changing priorities ? Ability to effectively communicate with staff at all levels |
| Job Ref No: | 11018773 |
