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Head of Transaction Monitoring, Equities, Director

Closing date
26 Jun 2022

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Contract Type
Full Time
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Job Purpose

This role sits within the Global Markets Conduct Risk area and requires the role holder to develop conduct related surveillances and monitoring capabilities for the Equities business leveraging data science disciplines to manage conduct risk across our global business.

Key responsibilities:

The following are some of the specific activities expected of this role:
  • Lead the ongoing build and scoping, design, implementation of the Equities front office transactionde monitoring operating model, to surveil both trade and the associated communications fortrading within the Equities business including listed derivatives
  • Leveraging structured and unstructured data sources for the Equities products to provide an integrated view to be able to monitor and surveil effectively
  • Define the Equities strategy & controls to apply to the analytics/scenarios for uncovering insights and understanding of connection between events, trades and communications orders
  • Reviewing & assessing risks from the data sets to help manage and control the Equities business and ensure escalation where required around events/scenarios and help identify emerging risks
  • Behavioral analytics to help uncover hidden behavioral and conduct related threats by individuals or entities (counterparty, trading desk, accounts)
  • Define & manage Equities thematic deep dives around enhanced trade monitoring
  • Drive and design the Equities required Conduct risk metric & alert functions, alongside the other product trade monitoring heads, to ensure efficiencies are achieved
  • Work with senior management for escalation and early warnings along with gaining approval for the defined approach, plans & budget requirements
  • Manage, lead and direct the work efforts & development of the equities trade monitoring team

Knowledge, Experience & Skills: Excellent understanding of the Equities Markets business across the trade lifecycle, with specific in-depth knowledge of Equity trading.

Able to demonstrate extensive experience of:
  • Technical & practical experience of Equity traded products, having worked within an Equities business within the front office
  • Experience across a range of international developed and emerging markets equity products, including cash, futures, and swap instruments
  • Good awareness and understanding of the key drivers, industry challenges and opportunities for trade monitoring
  • Good understanding of market abuse behaviours and roles of 1LoD, 2LoD, and 3LoD.

Experience within the following areas are advantageous:
  • Experience in developing and reviewing surveillances for global equities trading businesses
  • derstanding and interaction of the 1LoD
  • Experience of managing and delivering end to end Regulatory Compliance within the trade monitoring area
  • Experience in successfully developing, leading and completing significant multiple business change with excellent stakeholder engagement

Skills and Competencies - Must be able to demonstrate extensive experience of:
  • Strong trading experience within the Equities market
  • Excellent analytical & problem-solving skills
  • Utilize analytical problem solving skills to develop surveiling scenarios for the Equities business
  • Use trading metrics and statistical data to help drive trade monitoring capabilities
  • Significant attention to detail with an ability to contribute effectively to formative strategic development where necessary
  • Leadership in a co-operative and collaborative working environment
  • Communication, Interpersonal and organizational skills to mobilize and motivate delivery
  • Management and facilitation to achieve objectives, with both local and with remote teams
  • A practical and goal orientated focus with excellent verbal and written communication skills utilizing different media, to effectively communicate with senior management, clients and regulators

Every day, Citi employees work hard to make a positive financial and social impact in the communities we serve. In turn, we put our employees first and provide the best-in-class benefits they need to be well, live well, and save well. Along with a wide range of insurance cover and family care packages, we also provide a variety of comprehensive benefits and resources to help you save and be well in all aspects of your life, such as:
  • Paid Parental Leave
  • Volunteer Communities
  • Pension Plans
  • Well-being Programs
  • Advanced Learning Opportunities

Speak to your hiring manager to learn more about benefits and perks.


Job Family Group:
Risk Management

Job Family:
Business Risk & Controls

Time Type:
Full time

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.

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View the EEO Policy Statement.

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