Global Icg Surveillance Risk Assessments and

Serves as a compliance risk officer 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**: Gathering, reviewing, investigating and analyzing trade data as well as responding to 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 Compliance 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. Interacting with global counterparts in regards to the governance of their surveillance portfolio. Additional duties as assigned. **Qualifications**: Expertise of Compliance laws, rules, regulations, risks and typologies Ability to organize workflow, ideas and materials Experience with drafting Business Requirement Documentation (BRD) Excellent written, verbal and analytical skills Must be a self-starter, flexible, innovative and adaptive Self-motivated and detail oriented Advanced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level Experience in managing regulatory exams and relationships with examiners, auditors, etc. Awareness of regulatory requirements including local and US laws, international and industry standards Advanced knowledge in area of focus **Education**: 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; experience in area of focus -------------------------------------------- - **Job Family Group**: Compliance and Control -------------------------------------------- - **Job Family**: Surveillance ------------------------------------------------- - **Time Type**: Full time ------------------------------------------------- - Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. View the " EEO is the Law " poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting