Surveillance Officer, Citi

Citi

Location:
United States, Jersey City

Category:
Finance

Contract Type:
Employment contract

Salary:

142320.00 - 213480.00 USD / Year

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Job Description:

Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)’s Control Room team. The ICRM Global Surveillance platform encompasses Surveillance/Control related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier controls. Responsible for maintaining the Firm's public/private Information Barrier and complying with regulatory requirements.

Job Responsibility:

Key advisor to business groups (Investment Banking Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and Need-to Know Rule
Review incoming investment banking transactions for conflicts clearance and materiality determination and placement of material transactions on the Firm’s Watch List for monitoring
Maintain the Control Room’s internal database of investment banking assignments, to prevent / resolve information barrier issues
Implement sales and trading restrictions based upon the Restricted Trading List and provide clarification on / exceptions for restrictions
Provide pre-clearance for employee trading requests and reviewing employee trading in both internal and external accounts against the Firm’s Watch and Restricted lists
Review and train business groups on information barriers, policies, and procedures
Advise Investment Banking groups of regulatory requirements on a transaction-specific basis
Liaise with other legal and compliance groups to address information barrier issues, trading in equities and fixed income, employee personal trading and various regulatory inquiries
Gather, review, investigate and analyze trade data as well as respond to regulatory inquiries from major regulatory bodies
Participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within compliance or legal departments
Oversee monitoring to ensure adherence to ICRM’s Risk Policies and relevant procedures
Prepare, edit and maintain ICRM program related materials
Interact and work with other areas within Citi
Keep abreast of regulatory changes and identify new key risk areas
Appropriately assess risks during business decisions.

Requirements:

6+ Years serving in a compliance or surveillance role within financial services preferred
3+ in a Control Room environment strongly preferred
Knowledge of Compliance laws, rules, regulations, risks and typologies, including, but not limited to Information Barriers, Global Research Settlement, Banking/Research conflicts of interests rules and regulations
Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, Sales and Trading business
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)
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 required
Advanced degree preferred
Able to work the assigned shifts (Early, Middle, Late, and weekend coverage).

What we offer:

Medical, dental & vision coverage
401(k)
Life, accident, and disability insurance
Wellness programs
Paid time off packages, including planned vacation, unplanned sick leave, and paid holidays
Discretionary and formulaic incentive and retention awards.

Additional Information:

Job Posted:
July 23, 2025

Expiration:
September 28, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Surveillance Officer

Citi

Location:United States, Jersey City

Category:Finance

Contract Type:Employment contract