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Compliance Risk Officer

2 weeks ago

Mumbai, Maharashtra, India Citigroup Full time

At Citigroup, we are seeking a skilled Compliance Risk Officer to join our Surveillance team. As a key member of the Independent Compliance Risk Management (ICRM) group, you will be responsible for designing, implementing, and overseeing a suite of surveillances to detect behaviors that may violate regulatory rules or internal policies and procedures.

The ICRM Global Surveillance platform encompasses various surveillance portfolios, including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance. Your focus will be on Business Administration for the SELC team.

**Key Responsibilities:**

  • Creating, enhancing, and implementing surveillance scenarios and conducting surveillance reviews
  • Gathering, reviewing, investigating, and analyzing trade data as well as responding to regulatory inquiries from major regulatory bodies
  • Participating in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments

**Requirements:**

  • 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

As a Compliance Risk Officer at Citigroup, you will have the opportunity to work collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of matters. You will also be responsible for escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address identified issues.