CrawlJobs Logo

Surveillance Officer

https://www.citi.com/ Logo

Citi

Location Icon

Location:
United States, Jersey City

Category Icon
Category:
Finance

Job Type Icon

Contract Type:
Employment contract

Salary Icon

Salary:

142320.00 - 213480.00 USD / Year

Job Description:

The Surveillance Officer (VP) in the Control Room acts as a compliance risk officer, ensuring adherence to laws and regulations related to Information Barriers, MNPI, and regulatory oversight. Responsibilities include advising investment banking groups, reviewing transactions for conflicts, maintaining databases for compliance monitoring, training business groups, and responding to regulatory inquiries.

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, including updating the Watch List and Restricted Trading List on an ongoing basis
  • 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
  • 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)
  • participating in ad-hoc requests, special projects and regulatory exams
  • 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
  • keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.

Requirements:

  • 8+ 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 areas 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)
  • ability to both work collaboratively and independently
  • ability to navigate a complex organization
  • advanced analytical skills
  • adaptable to change and willing to work in a fast-paced environment with a positive attitude
  • able to work assigned shifts as follows: Early (7:30am - 4:30pm), Middle (8:00am-5:00pm), Late (9:30am-6:30pm and weekend coverage). Each team member rotates through shifts monthly.
What we offer:
  • Medical, dental & vision coverage
  • 401(k)
  • life, accident, and disability insurance
  • wellness programs
  • planned time off (vacation)
  • unplanned time off (sick leave)
  • paid holidays
  • discretionary and formulaic incentive and retention awards.

Additional Information:

Job Posted:
June 10, 2025

Expiration:
August 03, 2025

Employment Type:
Fulltime
Work Type:
Hybrid work
Job Link Share:
Welcome to CrawlJobs.com
Your Global Job Discovery Platform
At CrawlJobs.com, we simplify finding your next career opportunity by bringing job listings directly to you from all corners of the web. Using cutting-edge AI and web-crawling technologies, we gather and curate job offers from various sources across the globe, ensuring you have access to the most up-to-date job listings in one place.