Surveillance Senior Officer, Citi

Citi

Location:
United Kingdom, Belfast

Category:
-

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance and Employee Compliance (SELC) Surveillance Intelligence Unit (SIU) team responsible for the design, implementation, and program/product oversight for a suite of controls related to Employee Compliance, including Mandatory Absence, Personal Trading, Licensing and Registration.

Job Responsibility:

Creating, enhancing and implementing Employee Compliance controls by coordinating with Compliance Technology on the timely implementation of enhancements and proactively addressing potential issues
Gathering, reviewing, investigating and analyzing employee related information 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
Overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures
preparing, editing and maintaining Compliance 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
Interacting with global counterparts in regards to the governance of Employee Compliance controls portfolio
Driving the Program across the Franchise, interacting with Businesses, PFICRM, Country ICRM to address issues
Oversee the BAU process by partnering with clusters’ Execution teams
Working with the Execution team in clusters to train them on program changes

Requirements:

Expertise of Compliance laws, rules, regulations, risks and typologies
Ability to organize workflow, ideas and materials
Experience with drafting Business Requirement Documentation (BRD)
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Self-motivated and detail oriented
Advanced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standards

Additional Information:

Job Posted:
May 10, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Surveillance Senior Officer