Compl Surveillance Officer

3 months ago

Mumbai Maharashtra, India Citi Full time

Serves as a compliance risk officer 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.

**Responsibilities**:

- 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). 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.
- 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 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
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Demonstrated knowledge in area of focus

**Education**:

- Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof, Advanced degree preferred**Job Family Group**:
Compliance and Control
- **Job Family**:
Surveillance
- **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.

View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.

View the **EEO Policy Statement**.

View the **Pay Transparency Posting

  • Surveillance Executive

    5 months ago

    Mumbai, Maharashtra, India SHREE YASH STAINLESS PRIVATE LIMITED Full time

    **Job description - Surveillance Executive** **SHREE YASH STAINLESS PRIVATE LIMITED** is looking for **Officer-Security/ Surveillance Executive** to join our dynamic team and embark on a rewarding career journey. We are seeking a vigilant and proactive individual to join our team as an **Officer-Security / Surveillance...

  • Officer - Compliance Surveillance - C09 - Mumbai

    2 months ago

    Mumbai, Maharashtra, India Citi Full time

    Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At **Citi**, you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...

  • Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India Susquehanna International Group Full time

    Susquehanna International Group (SIG) is a global quantitative trading firm founded in the USA in 1987 on a platform of intellectual curiosity. We bring together the brightest minds, cutting-edge technology, and expansive sets of data to solve incredibly challenging problems. **What we're looking for** If you join us, you will: - Support trading activity...

  • Senior Business Development Officer

    3 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Citi's Banking division provides comprehensive relationship coverage and a full suite of products and services to its Institutional Clients. Our team leverages the breadth of our global network to meet clients' debt capital raising needs and provide strategic financing solutions. By serving these companies, we help them grow, creating jobs and economic value...

  • Senior Business Officer

    3 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Citi's Banking division provides comprehensive relationship coverage and a full suite of products and services to its Institutional Clients. The division leverages its global network to meet clients' debt capital raising needs and to provide merger and acquisition and equity-related strategic financing solutions. By serving these companies, we help them...

  • AML Surveillance Specialist

    3 weeks ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Job Summary:We are seeking a highly skilled AML Surveillance Analyst to join our team at Interactive Brokers. The successful candidate will be responsible for monitoring and surveillance of cashiering transactions in the Asia Pacific region, with a focus on IBHK and IBSG.Key Responsibilities:Monitor and analyze cashiering transactions for potential AML/CTF...

  • Compliance Risk Analyst

    7 days ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Job Description: Serves as a compliance risk analyst for the Independent Compliance Risk Management (ICRM) Global Surveillance team responsible for the design, implementation, and oversight of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures.The ICRM Global Surveillance platform encompasses a...

  • Surveillance Manager

    4 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • Compliance Surveillance Metrics Reporting Officer

    2 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    At 12542 Citicorp Services India Private Limited, we're committed to empowering our employees to make a difference in the world of finance. As a Compliance Surveillance Metrics Reporting Officer - Hybrid, you'll play a vital role in shaping our company's risk management strategy.Key Responsibilities:Analyze data to identify trends and patterns in compliance...

  • Compliance Surveillance Intermediate Analyst

    5 months ago

    Mumbai, India 12542 Citicorp Services India Private Limited Full time

    Serves as a compliance risk analyst 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...

  • Business Development Specialist

    2 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Citi's Banking division provides comprehensive relationship coverage and a full suite of products and services to its Institutional Clients. The division leverages its global network to meet clients' debt capital raising needs and provide strategic financing solutions.The Compl Bus Control Analyst 2 position is part of the Mumbai Controls team, working...

  • Surveillance and AML Team Lead

    3 weeks ago

    Mumbai, Maharashtra, India Upstox Full time

    Job Summary: We are seeking a highly skilled Surveillance and AML Team Lead to join our team at Upstox. The ideal candidate will have experience in Exchange & Trade regulatory framework, trade products, and trade life cycle. They will be responsible for analysis of trade surveillance alerts, escalation of day-to-day exception reports, and working closely...

  • AML Surveillance Analyst

    5 months ago

    Mumbai, India Interactive Brokers Full time

    Responsibilities : The role has regional responsibility and will involve: Assist in the monitoring and surveillance of cashiering transactions by IBKR clients in the Asia Pacific region; with a specific focus on transactions for IBHK and IBSG.Communicate with clients on monitoring and surveillance-related matters.Reviewing and providing suggestions to...

  • Agm/dgm - Surveillance

    5 months ago

    Mumbai, Maharashtra, India Paytm Full time

    **ABOUT THE COMPANY** Paytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allow users to start your investment journey with zero paperwork, seamless digital KYC, automated...

  • Financial Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India Paytm Full time

    Job DescriptionAbout Paytm Money LimitedPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. The company aims to provide a simplified user experience and enable users to start their investment journey with zero paperwork,...

  • International - Senior Business Specialist - Officer

    5 months ago

    Mumbai, India 12542 Citicorp Services India Private Limited Full time

    Citi’s Banking division provides comprehensive relationship coverage and a full suite of products and services in an effort to be the best possible financial partner to its Institutional Clients. Citi leverages the breadth of its unmatched global network to meet clients’ debt capital raising needs and to provide merger and acquisition and equity-related...

  • Compliance Surveillance Metrics Reporting Officer

    4 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Job Title: Officer - Compliance Surveillance Metrics Reporting-HybridCiti is seeking a highly skilled and motivated individual to join our team as a Compliance Surveillance Metrics Reporting Officer - Hybrid. This role will be based in Mumbai and will be responsible for analyzing and aggregating compliance risk for the franchise through the applicable...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allows users to start their investment journey with zero paperwork, seamless digital KYC, automated payments,...