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- Tasks: Lead compliance risk management for employee-related controls and regulatory inquiries.
- Company: Join Citi, a global leader in financial services with a commitment to diversity and inclusion.
- Benefits: Enjoy competitive pay, flexible work options, and opportunities for professional growth.
- Why this job: Make an impact in compliance while collaborating with global teams in a dynamic environment.
- Qualifications: Bachelor's degree with experience in compliance or legal functions; strong analytical and communication skills required.
- Other info: Citi values diversity and offers equal opportunities for all applicants.
The predicted salary is between 72000 - 108000 £ per year.
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance and Employee Compliance (SELC) Surveillance Intelligence Unit (SIU) team responsible for the design, implementation, and program/product oversight for a suite of controls related to Employee Compliance, including Mandatory Absence, Personal Trading, Licensing and Registration.
Responsibilities:
- Creating, enhancing and implementing Employee Compliance controls by coordinating with Compliance Technology on the timely implementation of enhancements and proactively addressing potential issues.
- Gathering, reviewing, investigating and analyzing employee related information 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.
- 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 Employee Compliance controls portfolio.
Qualifications:
- Expertise of Compliance laws, rules, regulations, risks and typologies.
- Ability to organize workflow, ideas and materials.
- Experience with drafting Business Requirement Documentation (BRD).
- 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 organization; to influence and lead people across cultures at a senior level.
- Experience in managing regulatory exams and relationships with examiners, auditors, etc.
- Aware of regulatory requirements including local and US laws, international and industry standards.
Education:
- 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.
The role will be responsible for Employee Compliance related controls, specifically platform design, policy and process design, including relevant policies' updates, training rollout, and close collaboration with technology on existing platforms hosting controls and their components. Driving the Program across the Franchise, interacting with Businesses, PFICRM, Country ICRM to address issues. Oversee the BAU process by partnering with clusters' Execution teams. Working with the Execution team in clusters to train them on program changes.
Contact Detail:
Citi Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land SVP (Surveillance) - Citi
✨Tip Number 1
Familiarise yourself with the latest compliance laws and regulations, especially those relevant to employee compliance. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing field.
✨Tip Number 2
Network with professionals in the compliance sector, particularly those who work at Citi or similar financial institutions. Engaging with them on platforms like LinkedIn can provide insights into the company culture and expectations for the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance controls or managed regulatory exams in your previous roles. This will showcase your practical experience and problem-solving skills during the interview.
✨Tip Number 4
Demonstrate your ability to work collaboratively by preparing to discuss instances where you've influenced cross-functional teams or navigated complex organisational structures. This is crucial for a senior role like SVP in Surveillance.
We think you need these skills to ace SVP (Surveillance) - Citi
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and qualifications required for the SVP (Surveillance) position at Citi. This will help you tailor your application to highlight relevant experiences.
Tailor Your CV: Customise your CV to reflect your expertise in compliance laws, regulations, and your experience with drafting Business Requirement Documentation (BRD). Highlight any relevant roles that demonstrate your ability to manage regulatory exams and relationships.
Craft a Compelling Cover Letter: Write a cover letter that clearly articulates your motivation for applying and how your skills align with the job requirements. Use specific examples from your past experiences to illustrate your capabilities in compliance risk management.
Proofread Your Application: Ensure that your application is free from grammatical errors and typos. A well-written application reflects your attention to detail, which is crucial for a compliance role. Consider asking a friend or colleague to review it before submission.
How to prepare for a job interview at Citi
✨Understand Compliance Regulations
Make sure you have a solid grasp of compliance laws and regulations relevant to the financial services industry. Familiarise yourself with key regulatory bodies like FINRA, SEC, and CFTC, as well as their requirements, as this knowledge will be crucial during your interview.
✨Showcase Analytical Skills
Prepare to discuss your analytical skills and how you've used them in past roles. Be ready to provide examples of how you've gathered, reviewed, and analysed employee-related information, especially in response to regulatory inquiries.
✨Demonstrate Collaboration Experience
Highlight your experience working collaboratively with various teams and stakeholders. Discuss specific instances where you've navigated complex organisational structures and influenced senior-level decisions across cultures.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities. Think about potential compliance issues you might encounter and how you would address them, including drafting corrective action plans and implementing controls.
