Surveillance Senior Officer Job at Citi (Belfast)

Sales Surveillance Senior Analyst (Wealth Management)

This role is part of the Asia Citi Wealth Risk and Control Team and is integral ...

Location

Malaysia , Kuala Lumpur

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

At least 2-3 years of relevant experience
Demonstrated organizational and follow-up skills
Ability to multi-task and maintain composure in a high-volume environment
Excellent time management skills
Effective communication skills (written and verbal)
Proven analytical/problem solving abilities
Proficient in Microsoft Office
Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements
Self-motivated and details oriented
Prior experience in sales, compliance or controls would be an advantage

Job Responsibility

Review and disposition of alert triggers based on investigation results
Document exception findings, tracking of corrective actions and its completion
Prepare trend analysis and surveillance reports for management reporting
Provide feedback and coaching on correct phone sales process to Sales Representatives
Provide consultations to other internal departments on sales process and branch operational matters
Report and document the Quality of Work / Exception / Observation report of Sales Representatives
Continuously seek process improvement to enhance efficiency of the surveillance monitoring process
Review and update of policies and unit procedures
Implementation of processes and procedures as per the compliance and business requirements
Updates documentation and communicating / training new processes and procedures to business partners

What we offer

Programs and services for physical and mental well-being including access to telehealth options, health advocates, confidential counseling
Access to an array of learning and development resources
Variety of programs that help employees balance their work and life

Fulltime

Compliance Testing Senior Officer - Equities & Spread Products

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Extensive experience in Compliance Testing
Expertise in Equities and/or Spread Products
Expertise of Compliance laws, rules, regulations, risks and typologies
Extensive experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for global businesses/programs
Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers
Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions

Job Responsibility

Developing, implementing, and executing compliance testing, continuous testing, and reporting programs in accordance with the Compliance Independent Assessment (CIA) Plan
Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with CIA Plan
Serving as a lead reviewer for complex reviews, analysing report findings, and communicating findings to corresponding control/process owners
Ensuring the timely delivery of high quality, value-added testing reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi’s respective regulators, globally
Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities
Developing effective relationships within CIA function and with other stakeholders including Business process owners, Risk management and Internal Audit function
Identifying industry best practices and share insight with the CIA teams on a regular basis
Informing CIA management of significant compliance matters that require their attention or action

Fulltime

Canada Compliance Risk Management Sr. Analyst

The AVP, Canada Compliance Risk Management Sr. Analyst serves as a senior compli...

Location

Canada , Toronto

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
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 responsibilities
Excellent research and analytical skills
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Has the ability to operate with a limited level of direct supervision
Can exercise independence of judgement and autonomy
Acts as subject matter expert (SME) to senior stakeholders and/or other team members
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization

Job Responsibility

Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary
Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate
Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remain compliant with regulatory and legal requirements
Monitors adherence to ICRM’s risk policies and relevant procedures and remains abreast of any changes to regulations and/or policies to prevent risk and protect the organization
Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support
Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business
Acts as a subject matter expert (SME) to senior stakeholders and/or other team members
Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival
Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup’s reputation is safeguarded when business decisions are made
Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, its clients and assets

Fulltime

Monitoring & Surveillance Compliance Officer (Vice President)

The Communications Surveillance Vice President will be part of a dynamic team re...

Location

United States Of America , NEW YORK

Salary:

135000.00 - 165000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

Requirements

Bachelor Degree / BSc Degree or equivalent
degree in Finance, Business, Technology or related field preferred
Minimum 5 years of experience in compliance surveillance, electronic communications monitoring, financial services compliance, or related risk functions
Knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
Proven leadership experience managing compliance teams and developing surveillance and monitoring programs
Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks
Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows
Experience working with electronic communications surveillance tools (e.g., SHIELD, or similar)
Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings
Work well in a team environment displaying leadership qualities

Job Responsibility

Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm’s policies
Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution
Enhance and deliver surveillance trainings by providing subject matter expertise to the central compliance training team for continuous program development
Maintain and enhance meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed
Assist with system implementations and enhancements, ensuring communications surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices
Collaborate with IT and Project teams to design, implement, and refine processes and controls supporting communications surveillance
Prepare and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends
Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions

Fulltime

Security Supervisor

Location

United States , Shreveport

Salary:

Not provided

Legends Global

Expiration Date

Until further notice

Requirements

Good communication skills
Must be 18 years of age or older
Excellent customer service skills
Must be able to pass a background check to include a credit history report and meet corporate minimum requirements
Three to Five years’ experience in Security and (2) years in supervisory capacity
High school diploma
Windows and Microsoft Office
Knowledge of Criminal law as it relates to the parameters of security enforcement
Ability to learn and enforce Policies and Procedures of SMG/SCC Security Department
Communicate effectively both verbally and in writing

Job Responsibility

Assist the Shreveport Convention Center/Municipal Auditorium Security Manager in such a manner as to ensure the highest possible level of security and comfort to all tenants, patrons, and employees
Promote customer service, positive public relation approach to the execution of his/ her duties and within the Security Staff
Must be able to function in a team environment
Assist with planning the service and operational work requirements of the Security Department
Obtaining optimum and most economical use of manpower and equipment
Obtains adequate fact and data, such as scheduled events and number of participants, to determine service needs
Enforce all building policies and procedures to assure safety and security for all
Respond to and investigate all accidents/incidents on property(s)
Reviews the work performance to all subordinate personnel
Recommends disciplinary actions

Fulltime

Director, Senior Compliance Officer

CTC invites applications for a Director - Senior Compliance Officer role. Candid...

Location

United States , Chicago

Salary:

175000.00 - 220000.00 USD / Year

Chicago Trading Company

Expiration Date

Until further notice

Requirements

Bachelor’s degree required, a Law degree is a plus
At least 10 years of experience in a compliance function that directly supports a professional trading business, or at least 4 years in a compliance function that supports a professional trading business and 6 additional years in non-compliance roles in financial services
Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment
Ability to regularly assess the efficiency of control systems and recommend effective improvements
Demonstrate a high level of integrity
Proactive approach to help identify regulatory risk for the firm
Ability to operate effectively in a team environment
Solid knowledge of electronic trading, emphasizing listed options and futures
Extensive knowledge of SEC, FINRA, CFTC and SRO rules and regulations
Establish strong working relationships with exchanges, regulators and vendors

Job Responsibility

Develop, refine, and apply proprietary and external surveillance rules on a variety of topics, including market maker quote compliance, market abuse, and off-channel electronic communications monitoring
Supervise Compliance staff responsible for reviewing, dispositioning, and advancing surveillance alerts
Draft and update compliance written supervisory procedures, including desktop procedures for Compliance staff
Assist the Chief Compliance Officer with designing, documenting, and completing internal control testing plans and collaborate with firm stakeholders to address gaps identified
Coordinate and prepare responses to formal investigations and other regulatory inquiries from various U.S. and European regulators, including exchanges, SEC, and FINRA
Assist with the management and coordination of regulatory exams and audits
Monitor and evaluate the firm’s trade activity using an internal surveillance system that generates reports covering aspects such as market maker obligations and market manipulation
Review and summarize proposed regulatory rules for applicability
Provide regulatory advice on new business initiatives
Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos

What we offer

Generous time off
Insurance coverage
Paid parental leave
Free breakfast and lunch
Healthy snacks
Wellness reimbursement

Fulltime

Public Safety Senior Supervisor

The GCCC Public Safety Senior Supervisor is responsible for assisting with the d...

Location

United States , Columbus

Salary:

Not provided

Legends Global

Expiration Date

Until further notice

Requirements

Surveillance (CCTV) skills
Working knowledge of security and public safety functions
Customer service techniques
Fire alarm system
Basic knowledge of Microsoft Office applications
Must be able to use a Two-Way radio
Must be able to keep information confidential
Valid State driver’s License with no more than 4 points
Must be able to pass pre-employment background check, as well as random drug screens during employment
Must be able to program keycards and maglock schedules

Job Responsibility

Greets guests as they enter and leave the facilities
Answers questions, resolves complaints, and gives directions
Enforces venue policies and procedures
Reports suspicious activity and violations of campus policy
Responds to guest conflicts, medical situations, and other incidents
Provides crowd management and assists with crowd movement
Secures locations and prohibits access to unauthorized individuals
Challenges unauthorized personnel in restricted areas
Follows established code of conduct and safety procedures
Provides exceptional service to all patrons

Fulltime

Senior Compliance Officer

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advis...

Location

United Kingdom , London

Salary:

Not provided

Brewin Dolphin

Expiration Date

Until further notice

Requirements

Expertise in UK, EU and US regulations relevant to asset management
Expertise in the investment fund industry, including proven experience with UCITS and Alternative products
Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management
Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment
Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations
Expertise in UK/EU regulatory environments, and FCA Handbook rules
Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management
Excellent attention to detail and organizational abilities
Strong work ethic, positive, pro-active and adaptable attitude
Strong interpersonal and communication skills

Job Responsibility

Provide expert regulatory advice UK/EU UCITS and Alternatives funds
Provide expert regulatory advice on US 40 Act Funds
Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements
Complete periodic compliance certifications for clients in accordance with IMA reporting obligations
Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution
Provide advice on ESG, Responsible Investment and Taxonomy matters
Drive the alignment and integration with enterprise standards
Drive efficiencies and enhancements to existing Compliance controls and framework
Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK
Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees

What we offer

Bonuses
Flexible benefits
Competitive compensation
Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible working options fully supported

Fulltime

Surveillance Senior Officer

Citi

Location:
United Kingdom , Belfast

Category:
-

Contract Type:
Employment contract

Salary:

Job Description:

Job Responsibility:

Requirements:

Additional Information:

Job Posted:
May 10, 2025

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