Serves as a compliance risk officer for the Control Room within Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect 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 the Control Room and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the handling of watchlist, restricted list, wall crossings, information barriers and insider trading/dealing risk, and guidance on related regulatory requirements and internal policies and procedures.
Responsibilities:
- Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary.
- Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate.
- Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remaining compliant with regulatory and legal requirements.
- Monitors adherence to ICRM’s risk policies and relevant procedures and remains abreast of any changes to regulations and or policies to prevent risk and protect the organization.
- Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support.
- Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business.
- Acts as a subject matter expert (SME) to senior stakeholders and/or other team members.
- Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival.
- Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup’s reputation is safeguarded when business decisions are made.
- Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
- 5-8 years of experience
- 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 responsibilities
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as subject matter expert (SME) to senior stakeholders and/or other team members.
- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization.
Education:
- Bachelor’s degree or equivalent experience
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Job Family Group:
Compliance and Control
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Job Family:
Surveillance
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Time Type:
Full time
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