AVP, Senior Compliance Surveillance Analyst – NAM Market Surveillance (Hybrid)

The AVP, Senior Compliance Surveillance Analyst 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 assigned

• Has 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 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:

• 5-8 years of relevant experience

• Experience in Equities, Equities Trading, and Trades Surveillance is preferred

• 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

• 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

• Excellent project management and organizational skills and capability to handle multiple projects at one time

• Proficient in MS Office applications (Excel, Word, PowerPoint)

• Knowledge in area of focus

• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization

• Adaptable to change and willing to work in a fast paced environment with a positive attitude

• Prior trade surveillance experience is desirable, especially on equities and listed derivatives.

• Prior experience with NASDAQ SMARTS is desirable.

Education:

• Bachelor's/University degree or equivalent experience

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Compliance

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Job Family:

Surveillance

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Time Type:

F