Compliance Surveillance Analyst 2

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Shape your Career with Citi

We're currently looking for a high caliber professional to join our team as  Compliance Surveillance Analyst 2 based in Mumbai, India.  Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. 

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:

• 5 years of related work experience -Compliance/Surveillance

• 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

Working at Citi is far more than just a job. A career with us means joining a family 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.

Take the next step in your career, apply for this role at Citi today

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.

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