Compliance Officer Market Surveillance at Jersey

Job Description

Reference Code: 13065430
Location: Jersey City, NJ, USA
Education Level: Bachelors Degree
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Brief Description
of the Organization

Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing 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, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com. Interface.d3880412e329.row1 class=contentlinepanel title= > Compliance Officer- Market Surveillance-13065430Interface.d3880412e333.row1 class=contentlinepanel title= >

Interface.d3880412e335.row1 class=inlinepanel title= > Description

Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, Commodities/Futures, and Energy Sales and Trading businesses. The primary areas of focus are surveillance, regulatory inquiry response, and ad-hoc special projects. Analysts are expected to create, implement and conduct surveillance reviews that cover specific regulation or firm policy, primarily as regards issues of market integrity. Analysts are also expected to respond to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) 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 designed to address issues that are identified. Finally, 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. Interface.d3880412e342.row1 class=contentlinepanel title= >

Interface.d3880412e344.row1 class=inlinepanel title= > Qualifications

Ideal candidate must have an undergraduate degree with 5+ years of experience in capital markets or securities compliance. The candidate should have strong regulatory, product and transaction knowledge; and strong written and verbal skills. Knowledge of the futures and commodities markets is a plus. A strong analytical background is a must in addition to a strong technical aptitude. Securities licenses such as the Series 7 are encouraged but not required.

Job Requirements

 
Country: USA, State: New Jersey, City: Jersey, Company: Citi.