Compliance Surveillance Officer - Data Quality

Compliance Surveillance Officer – Data Quality

Software Experience (MS Office, Jira, Tableau, Power BI tools, SQL, Python, Cloud data concepts, AI/ML skills)
6-10 years’ Experience with defining and implementing data quality programs, conducting data analysis on large volumes of order and trade lifecycle data
Knowledge of Investment Banking business, Sales & Trading, Trade and Order Life Cycle(s), and Compliance/Surveillance Controls is preferable
Address Data Quality (DQ) issues from identification, root cause analysis, fix, testing, and closure
Knowledge of Compliance laws, rules, regulations, risks and typologies
Excellent research and analytical skills in addition to a technical aptitude
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Advanced project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
The candidate should be adaptable to change and willing to work in a fast paced environment with a positive attitude
Advanced analytical skills

Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews
Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues
Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC)
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
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
Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
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

Knowledge of Investment Banking business, Sales & Trading, Trade and Order Life Cycle(s), and Compliance/Surveillance Controls is preferable