Compl Surveillance Officer

3 weeks ago

Mumbai, Maharashtra, India Citigroup Full time

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 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 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 Education Bachelors degree experience in a financial services firm regulatory organization or legal consulting firm or a combination thereof Advanced degree preferred Job Family Group Compliance and ControlJob Family SurveillanceTime Type Full timeCiti 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 Citigroup Inc and its subsidiaries Citi invite all qualified interested applicants to apply for career opportunities If you are a person with a disability and need a reasonable accommodation to use our search tools and or apply for a career opportunity review View the poster View the View the View the Citigroup

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