Compliance Surveillance Group Manager (SVP) Syndicate Surveillance
Company: Hispanic Technology Executive Council
Location: Getzville
Posted on: October 23, 2024
Job Description:
Serves as a compliance risk manager for Independent Compliance
Risk Management (ICRM)s Surveillance team responsible for the
design, implementation, and oversight for a suite of Syndicate
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.
Responsibilities:
- 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 ICRMs
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.
- 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:
- Expertise of Compliance laws, rules, regulations, risks and
typologies associated with Capital Markets Syndication
- Prior people leadership experience strongly preferred
- 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
- Demonstrated 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 focusEducation:
- Bachelors/University degree or equivalent experience,
potentially Master
degree------------------------------------------------------Job
Family Group: Compliance and
Control------------------------------------------------------Job
Family:Surveillance------------------------------------------------------Time
Type:Full
time------------------------------------------------------Primary
Location:Getzville New York United
States------------------------------------------------------Primary
Location Full Time Salary Range:$125,200.00 - $187,800.00
In addition to salary, Citis offerings may also include, for
eligible employees, discretionary and formulaic incentive and
retention awards. Citi offers competitive employee benefits,
including: medical, dental & vision coverage; 401(k); life,
accident, and disability insurance; and wellness programs. Citi
also offers paid time off packages, including planned time off
(vacation), unplanned time off (sick leave), and paid holidays. For
additional information regarding Citi employee benefits, please
visit citibenefits.com. Available offerings may vary by
jurisdiction, job level, and date of
hire.------------------------------------------------------Anticipated
Posting Close Date:Dec 27,
2024------------------------------------------------------Citi is
an equal opportunity and affirmative action employer.Qualified
applicants will receive consideration without regard to their race,
color, religion, sex, sexual orientation, gender identity, national
origin, disability, or status as a protected veteran.Citigroup Inc.
and its subsidiaries ("Citi) invite all qualified interested
applicants to apply for career opportunities. If you are a person
with a disability and need a reasonable accommodation to use our
search tools and/or apply for a career opportunity review .View the
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Keywords: Hispanic Technology Executive Council, Cheektowaga , Compliance Surveillance Group Manager (SVP) Syndicate Surveillance, Executive , Getzville, New York
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