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:

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

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Surveillance Officer

Citi

Location:United States, Jersey City

Category:Finance

Contract Type:Employment contract