37 applicants
Citi · 3 days ago
AVP, Senior Compliance Surveillance Analyst
Jersey City, NJ
Full-time
Onsite
Executive
$109K/yr - $164K/yr
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Responsibilities
Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews.
Identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas as appropriate.
Generating reports, performing data analysis, and providing troubleshooting support on multiple projects. Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements.
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
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.
Qualification
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Required
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 projects
Excellent research and analytical skills
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
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
Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Preferred
Advanced degree preferred
Benefits
Medical, Dental & Vision Coverage
401(k)
Life, Accident, and Disability Insurance
Wellness Programs
Paid Time Off (Vacation, Sick Leave, Paid Holidays)
Company
Citi
Citi's mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress.
Founded in 1812
10,001+ employees
H1B Sponsorship
Citi has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Trends of Total Sponsorships
2023 (1014)
2022 (1194)
2021 (958)
2020 (960)
Funding
Current Stage
Late StageLeadership Team
David Bailin
Chief Investment Officer
Ford von Weise
Director, Global Head - Aircraft Finance
Recent News
2024-05-14
2024-05-13
2024-05-13
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