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Citi: Svp, Compliance Surveillance Group Manager


This is a Contract position in Norwood Park, IL posted January 9, 2021.

Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)s 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.Responsibilities:Manage a team of compliance professionals responsible for conducting the timely and accurate review of trade surveillance alerts designed to monitor for rule violations, market abuse, market manipulation, or suspicious activity.Manage the workload distribution for the team.

Ensure alerts are assigned proportionately and make adjustments based on volume changes, priority shifts, ad-hoc assignments, etc.Perform regular quality control reviews of the productivity and accuracy of the teams reviews.

Institute corrective action plans to address any observed shortcomings or variances.Maintain and update as necessary the procedure documents that outline the reviews conducted by the team.

Make any necessary adjustments to the processes and procedures based on real-time observations.Produce, review, and distribute regular metrics that summarize the output of the team.

Use metrics to inform business and compliance partners on emerging issues and trends.

Also use as an additional quality control tool to address team output and productivity.Lead regular discussions (annual at minimum) with stakeholders to review existing thresholds and logic.

Propose and obtain suggestions for changes that would increase the effectiveness of the reviews.Assist surveillance project team with surveillance implementation projects and issue resolution by ensuring document preparation, requirement specifications, UAT testing, and test case documentation is completed timely and accurately.

Make us of team resources to allocate man power to address these tasks as necessary.Identify and escalate to management any issues that impact the quality of the surveillance alerts.

Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.Execute regular training programs for new hires and existing team members to ensure teams knowledge and functional capabilities are complete and current.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 ICRMs Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; interacting and workingwith 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:Expertise of Compliance laws, rules, regulations, risks and typologiesAbility to organize workflow, ideas and materialsExperience with drafting Business Requirement Documentation (BRD)Excellent written, verbal and analytical skillsMust be a self-starter, flexible, innovative and adaptiveSelf-motivated and detail orientedDemonstrated presentation skills with the ability to articulate complex problems and solutions through concise and clear messagingAbility to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior levelExperience in managing regulatory exams and relationships with examiners, auditors, etc.Awareness of regulatory requirements including local and US laws, international and industry standardsAdvanced knowledge in area of focusEducation:Bachelors/University degree or equivalent experience, potentially Master degree Grade :All Job Level All Job FunctionsAll Job Level All Job Functions US Time Type : Citi is an equal opportunity and affirmative action employer.Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.Citigroup Inc.

and its subsidiaries (” Citi) invite all qualified interested applicants to apply for career opportunities.

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