Compliance - Communications Surveillance Officer (Vice President)

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:

Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.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 ICRMs 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.

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 skills in addition to a technical aptitudeExcellent 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 organizationAdvanced project management and organizational skills and capability to handle multiple projects at one timeProficient in MS Office applications (Excel, Word, PowerPoint)The candidate should be adaptable to change and willing to work in a fast paced environment with a positive attitudeAbility to both work collaboratively and independently; ability to navigate a complex organization

Education:

Bachelors degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred

By joining Citi London, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as:

Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenureA discretional annual performance related bonusPrivate medical insurance packages to suit your personal circumstancesEmployee Assistance ProgramPension PlanPaid Parental LeaveSpecial discounts for employees, family, and friendsAccess to an array of learning and development resources

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Job Family Group:

Compliance

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Job Family:

Surveillance

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Time Type:

Full time

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