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Responsibilities:
Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews.
Identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas as appropriate.
Generating reports, performing data analysis, and providing troubleshooting support on multiple projects. Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements.
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 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.
Additional duties as assigned.
Qualifications:
Knowledge of Compliance laws, rules, regulations, risks and typologies
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Excellent research and analytical skills
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Knowledge in area of focus
Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
Adaptable to change and willing to work in a fast paced environment with a positive attitude
Education:
Bachelor’s degree; 2-5 years 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
Advanced degree (e.g. JD, MBA) a plus
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
Compliance and ControlFull timeJersey City New Jersey United States$109,120.00 - $163,680.00
Anticipated Posting Close Date:
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