Regulatory Compliance Risk Analyst
4 days ago
Serves as a regulatory risk expert for Citicorp Services India Private Limited's Compliance Surveillance team responsible for designing, implementing, and overseeing a suite of surveillances aimed at detecting 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 collaborating with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The Compliance Surveillance platform encompasses various portfolios, including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
Responsibilities:- Reviews and analyzes surveillance alerts and/or reports related to firm, employee, and client trading activity, properly documenting the review and disposition of exceptions and escalating matters appropriately.
- Gathers and analyzes trade data to support the Firm's response to inquiries from governmental and exchange regulatory bodies, evaluates surveillance results for potential problems, communicates surveillance findings to management in a clear and concise manner, and interacts with legal and other compliance personnel.
- Responds to inquiries or requests from internal partners (ICRM Assurance, Internal Audit, Legal).
- Assists in designing and implementing new surveillances and refining existing ones, interacting with IT on the specific design and testing of new surveillances.
- Additional activities include handling telephone hotlines and performing data entry in various systems.
- Additional duties as assigned.
- Operates with a limited level of direct supervision.
- Exercises independence of judgment and autonomy.
- Acts as a subject matter expert to senior stakeholders and/or other team members.
- Appropriately assesses 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.
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