Compliance Surveillance Officer - Trade Surveillance
- Primary Location: United Kingdom,England,London
- Education: Bachelor's Degree
- Job Function: Compliance and Control
- Schedule: Full-time
- Shift: Day Job
- Employee Status: Regular
- Travel Time: No
- Job ID: 19035338
DescriptionServes as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Trade 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.
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.
- 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 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.
Knowledge, skills and experience required:
- Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus
- 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 in addition to a strong technical aptitude
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong 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.
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.