VP, Compliance Surveillance Officer - NAM Market Surveillance

    Citigroup Inc.
    Jersey City, NJ 07097
    Full-time, Part-time
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    Job Description

    The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
    regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC). The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.

    •Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.

    •Other responsibilities include: overseeing the monitoring to adherence to ICRM's Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; interacting and working with other areas within Citi, as necessary; and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.

    •Additional duties as assigned.

    •Knowledge of Compliance laws, rules, regulations, risks and typologies
    •A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
    •Excellent research and analytical skills in addition to a strong technical aptitude
    •Excellent written and verbal communication skills
    •Must be a self-starter, flexible, innovative and adaptive
    •Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
    •Strong project management and organizational skills and capability to handle multiple projects at one time
    •Proficient in MS Office applications (Excel, Word, PowerPoint)
    •The candidate should be adaptable to change and willing to work in a fast paced environment with a positive attitude
    •Ability to both work collaboratively and independently; ability to navigate a complex organization
    •Advanced analytical skills
    •Demonstrated knowledge in area of focus

    •Bachelor's degree; 5-7 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; experience in area of focus.
    •Advanced degree (e.g. JD, MBA) a plus


    Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US


    Time Type :Full time


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    Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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    Posting ID: 555229752Posted: 2020-05-26