Compliance Business Control Senior Officer

Are you looking for a career move that will put you at the heart of a global financial institution? Then bring your skills to Citi’s ICRM - Surveillance & Employee Licensing Compliance Team.

By Joining Citi, you will become part of a global organisation whose mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress.

Team/Role Overview

Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)’s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Compliance and Control Room teams, designed to detect behaviours that may violate regulatory rules or internal policies and procedures, as well as controls' design and execution consistency and cluster-specific relevancy.

The ICRM Global Surveillance and Employee Compliance program encompasses a number of portfolios including trade surveillance, e-communications and voice surveillance, employee personal trading, information barrier surveillance and control room related controls, registration and licensing, and mandatory absence. The program is structured around the risks that can be manifested and contextualized through the data.

What you’ll do

• 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.

What we’ll need from you

• 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.

Education

• Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organisation, or legal/consulting firm, or a combination thereof; experience in area of focus

• Advanced degree is a plus.

What we can offer you

We work hard to have a positive financial and social impact on the communities we serve. In turn, we put our employees first and provide the best-in-class benefits they need to be well, live well and save well. 

By joining Citi Belfast, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as:  

• Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure 

• A discretional annual performance related bonus  

• Private medical insurance packages to suit your personal circumstances 

• Employee Assistance Program   

• Pension Plan  

• Paid Parental Leave  

• Special discounts for employees, family, and friends  

• Access to an array of learning and development resources  

Alongside these benefits Citi is committed to ensuring our workplace is where everyone feels comfortable coming to work as their whole self every day.  We want the best talent around the world to be energized to join us, motivated to stay, and empowered to thrive.  

Sounds like Citi has everything you need? Then apply to discover the true extent of your capabilities.

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