Surveillance Officer Control Room Vice President

05218 Citigroup Global Markets Inc.; Jersey City (NJ); On-site; USD 142,000 - 213,000; Full time

Job summary

A leading global financial services firm in Jersey City is hiring a Vice President for their Control Room team. The role involves overseeing compliance risks, managing Information Barriers, and ensuring adherence to regulations. Candidates should have extensive experience in compliance roles, exceptional communication skills, and proficiency in analytical tasks. This full-time position offers a competitive salary and comprehensive benefits.

Benefits

Competitive employee benefits

Paid time off packages

Qualifications

• 6+ years in a compliance or surveillance role preferred.
• 3+ years in a Control Room environment strongly preferred.
• Demonstrated knowledge in Broker Dealer Information Barriers.

Responsibilities

• Establish and maintain Information Barrier policies and procedures.
• Review incoming investment banking transactions for conflicts.
• Provide pre-clearance for employee trading requests.

Skills

Excellent research and analytical skills

Excellent written and verbal communication skills

Advanced project management skills

Knowledge of Compliance laws

Interpersonal skills

Education

Bachelor’s degree

Advanced degree

Tools

MS Office applications (Excel, Word, PowerPoint)

Job description

Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)’s Control Room team. The ICRM Global Surveillance platform encompasses a number of Surveillance / Control related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier controls / surveillance.

This Vice President (VP) role sits within the Control Room and is responsible for establishing and maintaining the Firm's public / private Information Barrier through policies and procedures reasonably designed to prevent the misuse of material, nonpublic information (MNPI), also known as nonpublic price sensitive or inside information outside of the United States.

Responsibilities

Key advisor to business groups (Investment Banking Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and Need-to Know Rule.

Review incoming investment banking transactions for conflicts clearance and materiality determination and placement of material transactions on the Firm’s Watch List for monitoring.

Maintain the Control Room’s internal database of investment banking assignments, to prevent / resolve information barrier issues. This includes updating the Watch List and Restricted Trading List on an ongoing basis.

Implement sales and trading restrictions based upon the Restricted Trading List and provide clarification on / exceptions for restrictions.

Provide pre‑clearance for employee trading requests and reviewing employee trading in both internal and external accounts against the Firm’s Watch and Restricted lists.

Review and train business groups on information barriers, policies, and procedures.

Advise Investment Banking groups of regulatory requirements on a transaction‑specific basis.

Liaise with other legal and compliance groups to address information barrier issues, trading in equities and fixed income, employee personal trading and various regulatory inquiries.

Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (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 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.

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

6+ Years serving in a compliance or surveillance role within financial services preferred.

3+ in a Control Room environment strongly preferred.

Knowledge of Compliance laws, rules, regulations, risks and typologies, including, but not limited to Information Barriers, Global Research Settlement, Banking / Research conflicts of interests rules and regulations.

Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, Sales and Trading business.

A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.

Excellent research and analytical skills in addition to a technical aptitude.

Excellent written and verbal communication skills.

Must be a self‑starter, flexible, innovative and adaptive.

Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.

Advanced project management and organizational skills and capability to handle multiple projects at one time.

Proficient in MS Office applications (Excel, Word, PowerPoint).

The candidate should be adaptable to change and willing to work in a fast‑paced environment with a positive attitude.

Ability to both work collaboratively and independently; ability to navigate a complex organization.

Advanced analytical skills.

Demonstrated knowledge in area of focus.

Able to work the assigned shifts of this team as follows : Early (7 : 30am - 4 : 30pm), Middle (8 : 00am-5 : 00pm), Late (9 : 30am-6 : 30pm and weekend coverage). Each team member rotates through with a typical month working, one early, two middle and one late shift / weekend coverage.

Education

Bachelor’s degree required.

Advanced degree preferred.

Job Family Group : Compliance

Job Family : Surveillance

Time Type : Full time

Primary Location : Jersey City New Jersey United States

Primary Location Full Time Salary Range : $142, - $213,

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 Available offerings may vary by jurisdiction, job level, and date of hire.

Most Relevant Skills

Business Acumen, Credible Challenge, Data Analysis, Laws and Regulations, Management Reporting, Policy and Procedure, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.

Other Relevant Skills

For complementary skills, please see above and / or contact the recruiter.

Anticipated Posting Close Date : Nov 30, 2025