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Senior Officer for Market Surveillance
2 months ago
Position Overview: The Senior Officer for Market Surveillance plays a critical role within the Independent Compliance Risk Management (ICRM) framework, specifically focusing on the Trade Surveillance team. This position is pivotal in designing, executing, and overseeing a comprehensive suite of surveillance mechanisms aimed at identifying behaviors that may contravene regulatory mandates or internal protocols.
When irregular activities are flagged, the team is tasked with escalating these findings and collaborating with various stakeholders across the organization to ascertain the suitable course of action, which may encompass disciplinary measures. The ICRM Global Surveillance platform includes diverse portfolios such as trade monitoring, electronic communications, voice surveillance, employee trading oversight, and information barrier management.
Key Responsibilities:
- Conducting thorough reviews of surveillance data and trading activities while developing and maintaining surveillance assessments.
- Identifying potential risks to the organization and escalating concerns to designated managers and legal representatives as necessary.
- Generating analytical reports, conducting data analysis, and providing support for troubleshooting across multiple initiatives.
- Engaging in ad-hoc requests, special projects, and regulatory examinations as directed by compliance or legal departments.
- Additional duties include monitoring adherence to ICRM's Risk Policies and relevant procedures, preparing and maintaining program-related documentation, and collaborating with various departments within the organization.
- Staying informed about regulatory changes and internal policy updates to identify emerging risk areas.
- Other responsibilities as assigned.
Qualifications:
- Strong knowledge of compliance laws, regulations, and risk typologies.
- General understanding of securities trading and related regulations, with proven ability to manage multiple projects effectively.
- Exceptional research and analytical capabilities.
- Excellent written and verbal communication skills.
- Self-motivated, adaptable, and innovative with a flexible approach.
- Strong interpersonal skills, capable of collaborating with individuals at all organizational levels.
- Proficient project management and organizational skills, able to handle several projects simultaneously.
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint).
- Knowledgeable in the relevant area of focus.
- Able to work collaboratively with regional and global partners across different functional units.
- Adaptable to change and willing to thrive in a fast-paced environment with a positive outlook.
Education:
- Bachelor's degree with 2-5 years of experience in compliance, legal, or other control-related functions within the financial services sector, regulatory bodies, or legal/consulting firms.
- Advanced degrees (e.g., JD, MBA) are advantageous.
This job description provides a high-level overview of the responsibilities and qualifications associated with this role. Additional job-related duties may be assigned as necessary.
Job Family Group: Compliance and Control
Job Family: Surveillance
Time Type: Full time
Salary Range: Competitive salary and benefits package.
Citi is an equal opportunity and affirmative action employer, committed to fostering a diverse workforce.
