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Compliance Surveillance Officer

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Citi

Jan 12

Applications are closed

  • Job
    Full-time
    Mid & Senior Level
  • Legal
  • Belfast

Requirements

  • 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 in addition to a technical aptitude
  • 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
  • Advanced project management and organizational skills and capability to handle multiple projects at one time
  • Proficient 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 attitude
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Advanced analytical skills
  • Demonstrated knowledge in area of focus
  • Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred

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 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.

FAQs

What is the primary role of a Compliance Surveillance Officer at Citi?

The primary role is to design, implement, and oversee surveillance systems to detect behaviors that may violate regulatory rules or internal policies, and to collaborate with partners to resolve any identified issues.

What types of surveillance portfolios are included in the ICRM Global Surveillance platform?

The surveillance portfolios include trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.

What qualifications are required for this position?

A Bachelor’s degree is required, along with experience in a financial services firm, regulatory organization, or legal/consulting firm. An advanced degree is preferred.

What skills are essential for a Compliance Surveillance Officer?

Essential skills include knowledge of compliance laws, excellent research and analytical skills, strong communication abilities, project management skills, and proficiency in MS Office applications.

Are there opportunities for professional development in this role?

Yes, Citi provides access to a variety of learning and development resources to support employee growth.

How does Citi approach employee work-life balance?

Citi offers a hybrid working model, allowing employees to work up to 2 days from home each week, along with a generous holiday allowance and additional benefits.

What types of benefits does Citi offer to its employees?

Benefits include a competitive base salary, annual performance-related bonuses, private medical insurance, a pension plan, paid parental leave, and special discounts for employees and their families.

Is there a commitment to diversity and inclusion at Citi?

Yes, Citi is an equal opportunity and affirmative action employer, committed to creating a workplace where everyone feels comfortable and can thrive as their whole self.

What should a candidate do if they need accommodation during the application process?

Candidates with disabilities can request reasonable accommodations to use the search tools or apply for a career opportunity by reviewing the Accessibility at Citi information.

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Citi

Finance
Industry
10,001+
Employees
1998
Founded Year

Mission & Purpose

Citigroup Inc. or Citi is an American multinational investment bank and financial services corporation headquartered in New York City. Citi's operation is to provide financial services that enable growth and economic progress. Core activities are safeguarding assets, lending money, making payments and accessing the capital markets.

Benefits

  • Live Well, Stay Healthy

    Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.

  • Paid parental leave

    We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That’s why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world.

  • Save well, for now and your future

    We empower our employees to manage their financial well-being and help them plan for the future.

  • Keep learning

    Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.

  • Be well, take time off

    We have a variety of programs that help employees balance their work and life, including generous paid time off packages.

  • Support Your Community

    We offer our employees resources and tools to volunteer in the communities in which they live and work. In 2019, Citi employee volunteers contributed more than 1 million volunteer hours around the world.

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