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Compliance Surveillance Group Manager, Senior Vice President
April 30, 2021
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.
Expertise of Compliance laws, rules, regulations, risks and typologies
Ability to organize 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
Self-motivated and detail oriented
Demonstrated 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; to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standards
Advanced knowledge in area of focus
Bachelor's/University degree or equivalent experience, potentially Master degree
Job Family Group: Compliance and Control Job Family: Surveillance Time Type: Full time Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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