Surveillance Officer (VP) - Control Room

Surveillance Officer (VP) - Control Room

Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM) Control Room team. The ICRM Global Surveillance platform encompasses a number of Surveillance / Control related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier controls / surveillance.

This Vice President (VP) role sits within the Control Room and is responsible for establishing and maintaining the Firm's public / private Information Barrier through policies and procedures reasonably designed to prevent the misuse of material, nonpublic information ("MNPI"), also known as nonpublic price sensitive or inside information outside of the United States.

Responsibilities :

• Key advisor to business groups (Investment Banking Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and Need-to Know Rule.
• Review incoming investment banking transactions for conflicts clearance and materiality determination and placement of material transactions on the Firm's Watch List for monitoring.
• Maintain the Control Room's internal database of investment banking assignments, to prevent / resolve information barrier issues. This includes updating the Watch List and Restricted Trading List on an ongoing basis.
• Implement sales and trading restrictions based upon the Restricted Trading List and provide clarification on / exceptions for restrictions.
• Provide pre-clearance for employee trading requests and reviewing employee trading in both internal and external accounts against the Firm's Watch and Restricted lists.
• Review and train business groups on information barriers, policies, and procedures.
• Advise Investment Banking groups of regulatory requirements on a transaction-specific basis.
• Liaise with other legal and compliance groups to address information barrier issues, trading in equities and fixed income, employee personal trading and various regulatory inquiries.
• Gathering, reviewing, investigating and analyzing trade data 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.
• Other responsibilities include : overseeing the monitoring to adherence to ICRM's Risk Policies and relevant procedures; preparing, editing and maintaining ICRM 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.
• 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 :

Education :

Able to work the assigned shifts of this team as follows : Early (7 : 30am - 4 : 30pm), Middle (8 : 00am-5 : 00pm), Late (9 : 30am-6 : 30pm and weekend coverage). Each team member rotates through with a typical month working, one early, two middle and one late shift / weekend coverage.