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Director -- Compliance Surveillance Product Specialist

Company: Citi
Location: Jersey City
Posted on: May 22, 2020

Job Description:

Serves as a Senior Compliance Risk Manager (Head of Surveillance Product Specialists) for Independent Compliance Risk Management (ICRM)'s Surveillance Product Specialists team responsible for assisting with the design, implementation and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. The ICRM Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, outside activities surveillance, and information barrier surveillance.The Head of Surveillance Product Specialists will report directly to the Head of Surveillance Intelligence UnitResponsibilities:

  • Directing the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM. Translating the ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; providing direction and guidance on the programs.
    • Managing a team or multiple teams of Compliance professionals. Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit's role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs.
      • Setting the direction for policies and guidelines for the aforementioned functions within ICRM and providing advisory services to the businesses supported through active participation. Leading in driving policy creation, personnel related matters and liaising with external organizations including banking and securities regulators and industry associations and advocacy organizations
        • Overseeing and guiding the assessment of complex issues, structuring potential solutions and driving effective resolution with other stakeholders. Advising the businesses on an ongoing basis on new business initiatives, new products, business acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
          • Managing the identification and assessment of Citi's key compliance risks. Ensuring compliance risks within Citi are effectively identified, measured, monitored, and controlled, consistent with the bank's risk appetite statement and all policies and processes established within the risk governance framework.
            • Additional duties as assigned.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; extensive experience in area of focus; previous experience managing a diverse staffPreferred:
                • Advanced degree (eg JD, MBA) a plusRequired:
                  • Ten years of experience in a compliance or legal function at an investment bank or regulatory highly preferred
                  • Strong knowledge of products traded by the Institutional Clients Group, markets/market structure, trading rules and regulations, and regulatory expectations of surveillance programs.
                  • Ability to track and interpret rule changes, regulatory guidance, industry best practices, and regulatory developments related to the trading; ability to articulate and distill those changes into potential new surveillance requirements/obligation
                  • 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 businesses
                    • Experience with and previous exposure to internal or external control functions and regulators
                    • Ability to challenge business management and escalate issues when appropriate
                    • Strong track record of effectively assessing and managing competing priorities
                    • Comfort 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.
                    • Experience managing diverse teams, and comfort navigating complex, highly-matrixed organizations ------------------------------------------------- Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US ------------------------------------------------------ Time Type :Full time ------------------------------------------------------ Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.Citigroup Inc. and its subsidiaries ("Citi ) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity CLICK HERE .To view the "EEO is the Law" poster CLICK HERE . To view the EEO is the Law Supplement CLICK HERE .To view the EEO Policy Statement CLICK HERE .To view the Pay Transparency Posting CLICK HERE .

Keywords: Citi, Jersey City , Director -- Compliance Surveillance Product Specialist, Executive , Jersey City, New Jersey

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