Surveillance Officer Control Room Vice President

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.

• 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 (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.
• Oversight of monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparation, editing and maintenance of ICRM program related materials; interaction and work 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.

• 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)

• medical, dental & vision coverage
• 401(k)
• life, accident, and disability insurance
• wellness programs
• paid time off packages
• planned time off (vacation)
• unplanned time off (sick leave)
• paid holidays

Discover your future at Citi Working at Citi is far more than just a job. A career with us means joining a team of more than 230,000 dedicated people from around the globe. At Citi, you’ll have the opportunity to grow your career, give back to your community and make a real impact.