Compliance Risk Officer

3 weeks ago

Belfast, United Kingdom Citigroup Global Markets Limited Full time
Job Summary

As a Compliance Risk Officer - Surveillance Intelligence Unit, you will be responsible for designing, implementing, and overseeing controls and solutions supporting Surveillance, Employee Compliance, and Control Room teams. This role requires expertise in regulatory landscapes, ability to organize workflow, and experience with drafting Business Requirement Documentation.

Key Responsibilities
  • Drive globalisation of the Control Room program, including overseeing development of globally consistent procedures and operating model.
  • Oversight of Control Room system development, including decision-making responsibility on prioritization of enhancement requests and finalisation of requirements.
  • Acting as senior escalation point, alongside senior management of location-based teams, to provide advice and credible challenge to stakeholders on application of relevant policy requirements.
  • Identifying and implementing opportunities to simplify and improve operational efficiency of the global team.
  • Key contact for coordination of internal audit, external audit, and regulatory requests.
  • Creating, enhancing, and implementing compliance controls covering control room. Improving compliance tools, platforms, and applications by coordinating with Technology on the timely implementation of enhancements and proactively addressing potential issues.
  • Gathering, reviewing, investigating, and analysing control room related data as well as responding to regulatory inquiries.
  • 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 Compliance 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.
  • Interacting with global counterparts in regards to the governance of their respective control room controls and processes. Ensure global consistency in control execution, while maintaining local relevancy and adherence to regulatory expectations.
  • 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 behaviour, conduct, and business practices, and escalating, managing, and reporting control issues with transparency.
  • Additional duties as assigned.
Requirements

This role requires:
  • Extensive Control Room experience.
  • Expertise in Regulatory landscape pertinent to Control Room - laws, rules, regulations, risks, and typologies.
  • Ability to organize workflow, ideas, and materials.
  • Experience with drafting Business Requirement Documentation (BRD) and ability to articulate business, compliance, and regulatory concepts/requirements to technology counterparts.
  • Excellent written, verbal, and analytical skills.
  • Must be a self-starter, flexible, innovative, and adaptive.
  • Self-motivated and detail-oriented.
  • Advanced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organisation; to influence and lead people across cultures at a senior level.
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements including local and US laws, international and industry standards.
  • Advanced knowledge in area of focus.
What We Offer

We offer a competitive base salary, annually reviewed, and a whole host of additional benefits, including a generous holiday allowance, discretionary annual performance-related bonus, private medical insurance packages, Employee Assistance Program, Pension Plan, Paid Parental Leave, special discounts for employees, family, and friends, and access to an array of learning and development resources.

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