Compliance Risk Analyst

5 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 number of surveillance related 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 relating to firm, employee and client trading activity, properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
  • Gathers and analyzes trade data to assist in the Firm's response to inquiries received from governmental and exchange regulatory bodies, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner, as well as interacting with legal and other compliance personnel.
  • Responds to inquiries or requests from internal partners (ICRM Assurance, Internal Audit, Legal).
  • Assists with the design and implementation of new surveillances as well as the refinement of existing ones, interacting with IT on the specific design and testing of new surveillances.
  • Additional activities including handling telephone hotlines and performing data entry in various systems.
  • Additional duties as assigned.
  • Has the ability to operate with a limited level of direct supervision.
  • Can exercise independence of judgement and autonomy.
  • Acts as SME 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.

 

Qualifications:

 

  • Knowledge of Compliance laws, rules, regulations, risks and typologies.
  • 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.
  • Strong project management and organizational skills and capability to handle multiple projects at one time.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).
  • Some knowledge in area of focus.

 

Education:

 

  • Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.

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