Senior Vice President, Compliance Surveillance Group Management

Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance, however this roll will focus on the oversite and supervision of trade surveillance and information barrier surveillance.

Key Activities include:

• Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. The Manager will also be responsible for improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.

• Managing a team or multiple teams of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, etc.

• Directly supervising the analyst review team, managing daily workflow and overseeing the surveillance team. Overseeing all administrative duties related to the day to day operations of the department including implementing process control functions to support updates to department procedures, global procedures and updates to Citi policies.

• Overseeing the preparation, editing and maintenance of 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.

• Other responsibilities include monitoring adherence to ICRM’s Risk Policies and measuring compliance risk through a robust control framework and ensuring that reviews are conducted consistently across each entity on a regular basis to confirm that controls identified are operating effectively; partnering, collaborating 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.

• Assisting the Japan Head of Surveillance with the management of regulatory relationships, exams and any related remediations. In addition, work with the Head of Surveillance to coordinate and manage internal audits and other internal reviews and projects.

• Additional duties as assigned.

Qualifications:

• 7+ years in the financial services industry with exposure to operations, control and Compliance functions and or trading / sales.

• Strong regulatory, product and transaction knowledge; more than a cursory knowledge of equities, fixed income, futures, commodities and or/FX markets.

• Expertise of Compliance laws, rules, regulations, risks and typologies

• Strong skills in organizing workflow, ideas and materials

• Exceptional delivery skills with a proven record in successfully completing multiple key projects simultaneously

• Experience with drafting and approving Business Requirement Documentation (BRD)

• Excellent written, verbal and analytical skills

• Exceptional communication skills with the ability to express ideas in a persuasive, confident, organized and articulate manner

• Must be a self-starter, flexible, innovative and adaptive

• Highly motivated, strong attention to detail, team oriented, organized

• Strong 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.

• Awareness of regulatory requirements including local and US laws, international and industry standards

• Advanced knowledge in area of focus

• Preferred – Recent experience working in Compliance Surveillance role at broker-dealer in Japan

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; previous experience managing a diverse staff.  Preferred Advanced degree (e.g. JD, MBA) a plus.

Other Requirements:

• JSDA License (I, II and Internal Control Officer)

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