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Compliance Officer

Location
Buffalo, NY

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Compliance Officer','18039689','!*!About Citi:
 
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
 
Citi’s Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
 
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.
 
Key Responsibilities:
 
 
The Independent Compliance Risk Management (ICRM) Market Surveillance - Syndicate team develops, maintains, and conducts surveillance reviews relating to potential market abuse and market conduct issues, as well as responds to regulatory inquiries from each of the major regulatory bodies.  The team supports the Markets and Securities Services businesses and monitors activity across various asset classes including equities and fixed income products.
As a member of the ICRM Markets Trade Surveillance team, this Compliance Officer will be required to perform the following duties:
 


The primary areas of focus are surveillance, regulatory inquiry response and ad-hoc special projects. Analysts are expected to assist in the creation, enhancement, and implementation of surveillance scenarios and conduct surveillance reviews that cover specific regulations or firm policies, primarily relating to issues of market integrity. 

The surveillance development process includes drafting requirements documents detailing how the surveillance should function, conducting data analysis to ensure the right data inputs are available for the surveillance to function, and participating in User Acceptance Testing to ensure all requirements for the surveillance were implemented correctly.

The surveillance review process includes analyzing transactions for conduct inconsistent with regulatory rules, partnering with product compliance to resolve questionable trading patterns, and periodic monitoring of surveillance output to ensure optimal quality.

Analysts are also expected to respond to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC) encompassing all of the rules.  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.

Analysts may also participate in ad-hoc requests, special projects, and regulatory exams in conjunction with other teams. 

Analysts within the Market Surveillance organization are expected to carry out assignments spanning each of these functions and are expected to develop knowledge across product areas over time.','!*!

The ideal candidate must have an undergraduate degree or equivalent work experience (preferably 5 years) in capital markets, securities compliance or regulation.

The candidate should have strong regulatory, product and transaction knowledge; and strong written and verbal skills.

A strong analytical background is preferred and the ability to develop SQL queries and generate reports including graphs and charts is a plus.

Securities licenses such as the Series 7, 9, 10, 24 and 55, are encouraged but not required.

The ideal candidate will be a self-starter who is confident to ask questions to ensure the processes are understood. 

The candidate will be an excellent communicator who is comfortable engaging at different levels of management. 

The role requires the ability to challenge responses provided. 

The employee filling this role will work closely with Product Compliance officers and attorneys, in-business risk and control representatives and business supervisors, by escalating matters as necessary.         ','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','NAM-USA-NY-Buffalo','','Compliance and Control','Full-time','Bachelor's Degree','Day Job','Regular','No','','','Compliance Officer'

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