Compliance Analyst

Job Description

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 behaviours that may violate

regulatory rules or internal policies and procedures. When potentially anomalous

behaviour is detected, the team is responsible for escalating the activity and working

collaboratively with partners across the first and second lines of defence 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, and information barrier surveillance.

Responsibilities:

● Reviewing and analyzing 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.

Additionally, 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.

● Additional activities including handling telephone hotlines and performing

data entry in various systems.

● Can exercise independence of judgement and autonomy.

● 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 behaviour, conduct and business practices, and escalating,

managing and reporting control issues with transparency.

Qualifications:

● For Trade Surveillance: Previous experience with SMARTS (2+ years) is essential.

● For Trade Surveillance: Good product knowledge of Equities, Exchange

Traded Derivatives (ETD) or FI/FX products is required.

● 3+ prior years in a Surveillance or Compliance role.

● Knowledge of Compliance laws, rules, regulations, risks and typologies

● Excellent written and verbal communication skills. Fluent English is

essential.

● Demonstrated interpersonal skills with the ability to work collaboratively

and with people at all levels of the organization

● Proficient in MS Office applications (Excel, Word, PowerPoint)

Preferred Skills (Communication Surveillance):

● Strong Hindi, Tamil or Bengali languages (for Communication

Surveillance)

● Product knowledge of Equities, ETD, FI or FX instruments.

Preferred Skills (Trade Surveillance):

● Completion of the AML-Transaction Monitoring & Suspicious Transaction

Reporting training – a NISM eLearning Certification Course.

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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