Citigroup VP - Sr Mgr / Compliance Surveillance in Getzville, New York
Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. . The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. The Manager will also be responsible for improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
Managing a team or multiple teams of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, etc.
Directly supervising the analyst review team, managing daily workflow and overseeing the surveillance team. Overseeing all administrative duties related to the day to day operations of the department including implementing process control functions to support updates to department procedures, global procedures and updates to Citi policies.
Overseeing the preparation, editing and maintenance of ICRM 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.
Other responsibilities include monitoring adherence to ICRM’s Risk Policies and measuring compliance risk through a robust control framework and ensuring that reviews are conducted consistently across each entity on a regular basis to confirm that controls identified are operating effectively; partnering, collaborating 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.
Additional duties as assigned.
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
Knowledge of Compliance laws, rules, regulations, risks and typologies
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
Strong written and verbal communication
Ability to navigate a complex organization
Advanced analytical skills
Ability to both work independently and collaborate with team members
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Demonstrated knowledge in area of focus
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
Demonstrated knowledge in area of focus
- Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred
Job Family Group:
Compliance and Control
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