AVP, Senior Compliance Surveillance Analyst - NAM Market Surveillance

CITI; Jersey City (NJ); On-site; USD 109,000 - 164,000; Full time

Job summary

An established industry player seeks a Senior Compliance Risk Analyst for its Surveillance team. This role involves overseeing surveillance services to detect regulatory violations and implementing enhancements to existing systems. You will analyze trading data, identify risks, and collaborate with various departments to ensure compliance with laws and internal policies. This position offers a dynamic work environment where your expertise will directly influence business decisions and safeguard the organization's reputation. If you're passionate about compliance and risk management, this is an exciting opportunity to make a significant impact.

Benefits

Medical coverage

Dental coverage

Vision coverage

401(k) plan

Life insurance

Disability insurance

Wellness programs

Paid time off

Paid holidays

Qualifications

• 5-8 years of experience in compliance risk management.
• Knowledge of compliance laws and trading regulations.
• Excellent analytical and communication skills.

Responsibilities

• Analyze surveillance and trading activity data for compliance.
• Identify and escalate potential risks to management.
• Collaborate with teams to ensure adherence to risk policies.

Skills

Foreign Exchange

Fixed Income Product

Compliance laws

Securities trading regulations

Research and analytical skills

Written and verbal communication

Project management

Interpersonal skills

MS Office proficiency

Education

Bachelor's degree

Advanced degree (JD, MBA)

Tools

MS Office (Excel, Word, PowerPoint)

Job description

The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance (Trade Surveillance) team is responsible for the oversight for surveillance services designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Additionally, this role is responsible for the design and implementation of new or enhanced surveillances. 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 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.

Responsibilities:

• Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary.
• Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate.
• Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remaining compliant with regulatory and legal requirements.
• Monitors adherence to ICRM's risk policies and relevant procedures and remains abreast of any changes to regulations and or policies to prevent risk and protect the organization.
• Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support.
• Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business.
• Acts as a subject matter expert (SME) to senior stakeholders and/or other team members.
• Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival.
• Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup's reputation is safeguarded when business decisions are made.
• Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, 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:

• 5-8 years of experience; experience in Foreign Exchange, Fixed Income Product, and Markets is preferred
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple responsibilities
• Excellent research and analytical skills
• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as subject matter expert (SME) to senior stakeholders and/or other team members.
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization.
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledge in area of focus
• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
• Adaptable to change and willing to work in a fast paced environment with a positive attitude

Education:

• Bachelor's/University degree or equivalent experience; Advanced degree (e.g. JD, MBA) is a plus

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Compliance

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Job Family:

Surveillance

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Time Type:

Full time

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Primary Location:

Jersey City New Jersey United States

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Primary Location Full Time Salary Range:

$109,120.00 - $163,680.00

In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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Anticipated Posting Close Date:

May 01, 2025

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