Compliance Risk Officer

3 weeks ago

London, Greater London, United Kingdom Citigroup Global Markets Limited Full time
Job Summary

The Compliance Surveillance Officer will serve as a key member of the Independent Compliance Risk Management (ICRM) Surveillance team, responsible for designing, implementing, and overseeing a suite of surveillances to detect behaviors that may violate regulatory rules or internal policies and procedures. This role requires a strong understanding of compliance laws, rules, and regulations, as well as excellent analytical and research skills.

Key Responsibilities:
  • Design and implement surveillance scenarios to detect potential compliance risks
  • Conduct surveillance reviews and analyze trade data to identify potential issues
  • Respond to regulatory inquiries from major regulatory bodies, such as FINRA, SEC, and CFTC
  • Participate in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments
  • Oversee monitoring to adherence to ICRM's Risk Policies and relevant procedures

Requirements:
  • Knowledge of Compliance laws, rules, regulations, risks, and typologies
  • General understanding of securities trading and corresponding regulations
  • Excellent research and analytical skills
  • Demonstrated interpersonal skills with the ability to work collaboratively
  • Advanced project management and organizational skills

Education:
  • Bachelor's degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred

Job Family Group:
Compliance and Control

Job Family:
Surveillance

Time Type:
Full time

Citigroup Global Markets Limited is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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