SVP (Surveillance) - Citi

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.