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Compliance Risk Officer

2 months ago

Jersey City, New Jersey, United States Citigroup Inc Full time
Job Summary

We are seeking a highly skilled Compliance Risk Officer to join our Surveillance Intelligence Unit within Independent Compliance Risk Management (ICRM). The successful candidate will be responsible for designing, implementing, and overseeing controls and solutions to support Surveillance, Employee Compliance, and Control Room teams in detecting behaviors that may violate regulatory rules or internal policies and procedures.

Key Responsibilities
  • Develop and implement compliance controls covering control room operations, improving compliance tools, platforms, and applications by coordinating with Technology on timely enhancements and addressing potential issues.
  • Gather, review, investigate, and analyze control room-related data, responding to regulatory inquiries from major regulatory bodies, including FINRA, SEC, and CFTC.
  • Participate in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments.
  • Oversee monitoring adherence to ICRM's Risk Policies and relevant procedures, preparing, editing, and maintaining Compliance program-related materials, interacting with other areas within Citi, and staying up-to-date with regulatory changes and internal policy updates.
  • Interact with global counterparts on control room control and process governance, ensuring global consistency in control execution while maintaining local relevancy and adherence to regulatory expectations.
  • Assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets by driving compliance with applicable laws, rules, and regulations.
Requirements
  • 10+ years of Control Room experience
  • Expertise in Compliance laws, rules, regulations, risks, and typologies
  • Ability to organize workflow, ideas, and materials
  • Experience with drafting Business Requirement Documentation (BRD) and articulating business, compliance, and regulatory concepts to technology counterparts
  • Excellent written, verbal, and analytical skills
  • Self-motivated, detail-oriented, and able to work collaboratively with regional and global partners
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements, including local and US laws, international and industry standards
Education
  • Bachelor's degree; experience in compliance, legal, or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
  • Advanced degree is a plus