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Citi
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London, Greater London
Senior Vice President - EMEA Surveillance Product Specialist
Overview
Job Description
Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM). This is a senior risk officer who will be responsible to track and intemperate rule changes, regulatory guidance, industry best practices, and regulatory developments related to the trading rules and surveillance. The incumbent must have the ability to articulate and distill those changes into potential new surveillance requirements/obligations, assist with the development of surveillance business requirement, and work with key stakeholder to develop new surveillance scenarios/patterns. 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. Key Activities include: + Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues. + Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments. + Other responsibilities include: 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 their surveillance portfolio. Additional duties as assigned **Responsibilities:** + Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues. + Gathering, reviewing, investigating and analyzing trade data 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. + Other responsibilities include: 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 their surveillance portfolio. + 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. **Qualifications:** + Ten plus years experience in a surveillance compliance or compliance advisory function at an investment bank or regulator highly preferred. + Strong knowledge of products traded by the Institutional Clients Group, markets/market structure, trading rules and regulations, and regulatory expectations of surveillance programs. + Ability to track and intemperate rule changes, regulatory guidance, industry best practices, and regulatory developments related to the trading; ability to articulate and distill those changes into potential new surveillance requirements/obligations + Expertise of Compliance laws, rules, regulations, risks and typologies + Strong skills in organizing 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 + Highly motivated, strong attention to detail, team oriented, organized + Strong 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;