AVP, Senior Compliance Surveillance Analyst - NAM Market Surveillance
Company: Citigroup Inc.
Location: Jersey City
Posted on: May 13, 2022
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Job Description:
Serves as a compliance risk analyst for Independent Compliance
Risk Management (ICRM)'s Surveillance team responsible for the
design, implementation, and oversight for a suite of surveillances
designed to detect behaviors that may violate regulatory rules or
internal policies and procedures. When potentially anomalous
behavior is detected, the team is responsible for escalating the
activity and working collaboratively with partners across the first
and second lines of defense to determine the appropriate resolution
of the matter, which may include employee discipline. . 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.
Responsibilities:
* Reviewing data and analysis of surveillance and trading activity
while also developing, maintaining and performing surveillance
reviews.
* Identifying potential risks for the Firm and escalating the
matter to a designated manager and to the legal representative and
the respective product coverage areas as appropriate.
* Generating reports, performing data analysis, and providing
troubleshooting support on multiple projects. Supporting aspects of
planning and executing projects to assist the Firm in complying
with regulatory and legal requirements.
* 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
* Appropriately assess risk when business decisions are made,
demonstrating particular consideration for the firm's reputation
and safeguarding Citigroup, 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:
* 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
* Excellent written and verbal communication skills
* Must be a self-starter, flexible, innovative and adaptive
* Demonstrated interpersonal skills with the ability to work
collaboratively and with people at all levels of the
organization
* Excellent project management and organizational skills and
capability to handle multiple projects at one time
* Proficient in MS Office applications (Excel, Word,
PowerPoint)
* Knowledge in area of focus
* Work collaboratively with regional and global partners in other
functional units; ability to navigate a complex organization
* Adaptable to change and willing to work in a fast paced
environment with a positive attitude
Education:
* Bachelor's degree; experience in a financial services firm,
regulatory organization, or legal/consulting firm, or a combination
thereof
* Advanced degree preferred
Keywords: Citigroup Inc., Jersey City , AVP, Senior Compliance Surveillance Analyst - NAM Market Surveillance, Professions , Jersey City, New Jersey
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