Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of 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. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance, however this roll will focus on the oversite and supervision of trade surveillance and information barrier surveillance.
Key Activities include:
Qualifications:
Education:
Other Requirements:
Job Family Group:
Compliance and Control
Job Family:
Surveillance
Time Type:
Full time
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Chiyoda City Citi Full timeServes as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal polic ...
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