JerseyCityRecruiter Since 2001
the smart solution for Jersey City jobs

AVP, Compliance Surveillance Sr Analyst - NAM Market Surveillance

Company: Citi Bank
Location: Jersey City
Posted on: August 4, 2022

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 assignedHas the ability to operate with a limited level of direct supervision. Can exercise independence of judgement and autonomy. Acts as SME to senior stakeholders and /or other team members.Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firms 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 typologiesA general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projectsExcellent research and analytical skillsExcellent written and verbal communication skillsMust be a self-starter, flexible, innovative and adaptiveDemonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organizationExcellent project management and organizational skills and capability to handle multiple projects at one timeProficient in MS Office applications (Excel, Word, PowerPoint)Knowledge in area of focusWork collaboratively with regional and global partners in other functional units; ability to navigate a complex organizationAdaptable to change and willing to work in a fast paced environment with a positive attitudeEducation:Bachelor's degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred

Keywords: Citi Bank, Jersey City , AVP, Compliance Surveillance Sr Analyst - NAM Market Surveillance, Professions , Jersey City, New Jersey

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Log In or Create An Account

Get the latest New Jersey jobs by following @recnetNJ on Twitter!

Jersey City RSS job feeds