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Compl Surveillance Directory - APAC Head of Communication Surveillance

Job Req ID 22510368 Primary Location Mumbai, India Job Category Compliance and Control
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Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)’s Communication 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.

Responsibilities:

  • Directing the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM. Translating the ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; providing direction and guidance on the programs.
  • Managing a team or multiple teams of Compliance professionals. Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit’s role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs.
  • Setting the direction for policies and guidelines for the aforementioned functions within ICRM and providing advisory services to the businesses supported through active participation. Leading in driving policy creation, personnel related matters and liaising with external organizations including banking and securities regulators and industry associations and advocacy organizations
  • Overseeing and guiding the assessment of complex issues, structuring potential solutions and driving effective resolution with other stakeholders. Advising the businesses on an ongoing basis on new business initiatives, new products, business acquisitions, and client- related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
  • Managing the identification and assessment of Citi’s key compliance risks. Ensuring compliance risks within Citi are effectively identified, measured, monitored, and controlled, consistent with the bank’s risk appetite statement and all policies and processes established within the risk governance framework.
  • 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; responding to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC); 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

Qualifications:

  • Highly motivated, strong attention to detail, team oriented, organized
  • Excellent written, verbal and analytical skills
  • Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to interact and communicate effectively with senior leaders
  • Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls
  • Experience in the design and implementation of Compliance programs
  • Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
  • Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse businesses
  • Experience with and previous exposure to internal or external control functions and regulators
  • Ability to challenge business management and escalate issues when appropriate
  • Strong track record of effectively assessing and managing competing priorities
  • Comfort navigating complex, highly-matrixed organizations
  • Comfortable acting as an agent for positive change with agility and flexibility
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential.
  • Experience managing diverse teams, and comfort navigating complex, highly-matrixed organizations

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; extensive experience in area of focus; previous experience managing a diverse staff; Advanced degree preferred

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Job Family Group:

Compliance and Control

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Job Family:

Surveillance

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Time Type:

Full time

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