
Compl Surveillance Analyst 2- Officer
7 days ago
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 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:
- Assisting team members with the reviewing and analyzing of 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.
- Gathering and analyzing 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.
- Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, and Legal).
- Assisting with the design and implementation of new surveillances as well as the refinement of existing ones.
- Other responsibilities include handling telephone hotlines and performing data entry.
- Additional duties as assigned
- Appropriately assess 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:
- 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
- Proven project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Some 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
Job Family:
Surveillance
Time Type:
Full time
Most Relevant Skills
Business Acumen, Credible Challenge, Data Analysis, Laws and Regulations, Management Reporting, Policy and Procedure, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.
Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.
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.
View Citi's EEO Policy Statement and the Know Your Rights poster.
-
Compl Surveillance Analyst 2- Officer
5 days ago
Mumbai, Maharashtra, India Citi Full time ₹ 5,00,000 - ₹ 12,00,000 per yearDiscover your future at CitiWorking at Citi is far more than just a job. A career with us means joining a team of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community and make a real impact.Job OverviewServes as a compliance risk analyst for Independent Compliance Risk...
-
Compl Surveillance Analyst 1
3 weeks ago
Mumbai, Maharashtra, India Citigroup Full timeWhether youre at the start of your career or looking to discover your next adventure your story begins here At Citi youll have the opportunity to expand your skills and make a difference at one of the worlds most global banks Were fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to...
-
Compl Surveillance Officer
3 weeks ago
Mumbai, Maharashtra, India Citigroup Full timeServes 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...
-
Compliance Surveillance Analyst 2
5 days ago
Mumbai, Maharashtra, India Citi Full time ₹ 12,00,000 - ₹ 24,00,000 per yearWhether 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 and...
-
Trade Surveillance Analyst
6 hours ago
Mumbai, Maharashtra, India UBS Full time ₹ 12,00,000 - ₹ 36,00,000 per yearIndiaCompliance, RiskGroup FunctionsJob Reference #326600BRCityMumbai, PuneJob TypeFull TimeYour roleDo you like financial markets?Are you good at handling and interpreting large data sets?Are you analytical and enjoy investigating financial transactions, understanding trading strategies and making sense of the unusual trading activity?Are you able to think...
-
Surveillance Manager
2 weeks ago
Mumbai, Maharashtra, India Avant-Garde Corporate Services Private Limited Full time ₹ 20,00,000 - ₹ 25,00,000 per yearCore Competencies: Quantitative/Analytical abilityAttention to detailGood team playerAdaptability to changeFunctional Competencies: Exposure to Treasury Products by virtue of working with either Trading/Risk Management/Analyst/ Strategist TeamsProficient in using statistical analysis techniques and data visualization tools Technology Savvy, Working...
-
Senior Trade Surveillance Analyst
3 days ago
Mumbai, Maharashtra, India UBS Full time ₹ 12,00,000 - ₹ 36,00,000 per yearJob Reference #323041BRJob TypeFull TimeYour roleDo you like financial markets?Are you good at handling and interpreting large data sets?Are you analytical and enjoy investigating financial transactions, understanding trading strategies and making sense of the unusual trading activity?Are you able to think independently and express your opinions and ideas...
-
Quality Analyst
3 weeks ago
Mumbai, Maharashtra, India Call 2 Connect Full timeJob Title: Quality Analyst - BPO (Sales Experience)Location: Malad (West), Mumbai, Maharashtra Job Type: Full-time | Work from Office (Onsite)Job Summary:Call 2 Connect is hiring an experienced Quality Analyst with a strong background in sales processes within a BPO environment. The ideal candidate will be responsible for monitoring and evaluating agent...
-
Chief Surveillance Officer II Malad(West)
3 days ago
Mumbai, Maharashtra, India Motilal Oswal Financial Services (MOFSL) Full time ₹ 9,00,000 - ₹ 12,00,000 per yearSurveillance & MonitoringOversee real-time and post-trade surveillance of trading activities across equity, derivatives, commodities, and other instruments.Detect and act upon suspicious patterns, insider trading, front-running, circular trading, and market manipulation.Conduct in-depth investigations into unusual trades or alerts.Escalate material findings...
-
Mumbai, Maharashtra, India BlackRock Full timeJob DescriptionAbout This RoleSummary:We are seeking a self-motivated Compliance professional to be part of a transaction surveillance and forensic testing team. The Global Transaction Surveillance and Forensic Testing team (TSFT) is responsible for the development, ongoing review, and follow-up of surveillance alerts related to BlackRocks equity, fixed...