Compliance Surveillance Analyst 2
hace 6 días
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
- Advance English
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 and Control
Job Family:
Surveillance
Time Type:
Full time
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. 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 the "EEO is the Law ) " poster. View the EEO is the Law Supplement ) .
View the EEO Policy Statement ) .
View the Pay Transparency Posting )
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
-
Senior Compliance Associate
hace 2 semanas
San Francisco, Heredia, Costa Rica Moody's A tiempo completoMoody's is seeking an experienced compliance professional to support the MIS rating business in Latin America and to provide regional support for the Business Unit Compliance Officers (BUCOs) assigned to MIS' ratings groups.This function will provide day to day and project support across a number of compliance activities and functions, including timely and...
-
KYC Operations Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe KYC Operations Analyst 2 is an intermediate-level position responsible for Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team. The overall objective of this role is to develop and manage a dedicated internal KYC (Know Your Client) program at...
-
KYC Operations Analyst 2
hace 4 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe KYC Operations Analyst 2 is an intermediate-level position responsible for Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team. The overall objective of this role is to develop and manage a dedicated internal KYC (Know Your Client) program at...
-
Accounts Payable Analyst, Compliance MX
hace 2 semanas
San Francisco, Heredia, Costa Rica Amazon Support Services Costa Rica SRL A tiempo completoWe are looking for an Accounts Payable Analyst to join our team at an exciting company.As an Accounts Payable Analyst, you will play a vital role in supporting the procure to pay process within our organization.Your responsibilities will include: Managing invoice processing, troubleshooting, and reporting Collaborating with LATAM countries Supporting trend...
-
Compl Aml Kyc Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citi A tiempo completoThe Compliance AML KYC Analyst 2 is an intermediate-level position responsible for Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team. The overall objective of this role is to develop and manage a dedicated internal KYC (Know Your Client) program at...
-
Balance Sheet Mgmt Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica 11274 Citi Business Services Costa Rica, SRL A tiempo completoThe Balance Sheet Management Analyst 2 Role:Contributes to annual Strategic/Operating Plans, CCAR PPNR forecasts, QMMF forecasts, and quarterly outlooksCreates deposit reports and provides financial trend insights to senior managementMonitors deposit pricing trends activelyManages implementation of procedures and analysis developmentPrepares analytics...
-
Data Quality Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citi A tiempo completoThe Data Quality Analyst 2 is responsible for participating in the establishment and implementation of Data Quality processes. The overall objective of this role is to contribute to improvement and performance activities by providing measurement, evaluation, and assessment services relating to Data Quality and data production. Responsibilities: ...
-
Compliance Analyst
hace 2 semanas
San Francisco, Heredia, Costa Rica Amazon Support Services Costa Rica SRL A tiempo completoTechnical in Accounting/Finance with 1+ years of post-qualification experience in Finance Operations/Shared Services, Accounts Payable or Account Receivable (Collections) or General Ledger. Proven experience working on LATAM Countries. Proven strong customer focus. Track record of driving or escalating issues. Expertise in using Oracle Financial...
-
Manager, QA Compliance
hace 2 semanas
San Francisco, Heredia, Costa Rica AbbVie A tiempo completoCompany DescriptionSupervisar el Laboratorio de Análisis de Quejas (DAL) y los departamentos de Revisión de Documentos (DHR), auditorías internas/externas y CAPA en Costa Rica con el objetivo de asegurar un funcionamiento eficiente y efectivo de los diferentes procesos y servicios que se brindan por medio de la realización oportuna de las tareas y...
-
Tax Compliance Analyst, Pcs
hace 2 semanas
San Francisco, Heredia, Costa Rica Amazon Support Services Costa Rica SRL - B20 A tiempo completoBachelor's degree Experience working in a large public accounting firm or multinational corporate tax department Proven ability in datadriven decision making and risk analysis as well as thinking strategically Comfortable working in an ambiguous fastpaced environmentAmazon is looking for an experienced Tax Compliance Analyst to join the Tax Engine Business...
-
Product Control Analyst 2
hace 2 días
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe Product Control Analyst 2 is an intermediate level position responsible for ensuring the completeness, accuracy and integrity of the bank's books and records in coordination with the Finance team. The overall objective of this role is to control and support data integrity and general ledger reconciliation, profit attribution and new activity analysis,...
-
FP&A Analyst 2
hace 7 días
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe FP&A Lead Analyst is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results, defines...
-
Data Quality Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe Data Quality Analyst 2 is responsible for participating in the establishment and implementation of Data Quality processes. The overall objective of this role is to contribute to improvement and performance activities by providing measurement, evaluation, and assessment services relating to Data Quality and data production.Responsibilities: Accountable...
-
Data Quality Analyst 2
hace 4 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe Data Quality Analyst 2 is responsible for participating in the establishment and implementation of Data Quality processes. The overall objective of this role is to contribute to improvement and performance activities by providing measurement, evaluation, and assessment services relating to Data Quality and data production.Responsibilities: Accountable...
-
Balance Sheet Mgmt Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citi A tiempo completoThe Balance Sheet Management Analyst Level 2 is a role for professionals in development. Utilizes specialized knowledge to monitor, assess, analyze, and evaluate processes and data. Identifies policy gaps and creates policies. Interprets data, provides recommendations, and conducts research. Recognizes inconsistencies in data, defines business issues, and...
-
analyst, Global Trade Compliance
hace 2 semanas
San Francisco, Heredia, Costa Rica ABBVIE A tiempo completoThis position will support the daily import/export compliance and operational activities at key markets in Latin America commercial or manufacturing locations. It's critical to AbbVie that we ensure adherence with laws, improve operational efficiency and facilitate the reduction of tariff and non-tariff barriers at all our locations.Key responsibilities...
-
Compliance Analyst
hace 2 semanas
San Francisco, Heredia, Costa Rica Amzn Support Srvcs Costa Rica A tiempo completoTechnical in Accounting/Finance with 1+ years of post-qualification experience in Finance Operations/Shared Services, Accounts Payable or Account Receivable (Collections) or General Ledger. - Proven experience working on LATAM Countries. - Proven strong customer focus. - Track record of driving or escalating issues. - Expertise in using Oracle Financial...
-
Balance Sheet Mgmt Analyst 2
hace 4 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe Balance Sheet Mgmt Analyst 2 is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results,...
-
Balance Sheet Mgmt Analyst 2
hace 2 semanas
San Francisco, Heredia, Costa Rica Citigroup A tiempo completoThe Balance Sheet Mgmt Analyst 2 is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results,...
-
Kyc Compliance Ops Sr Analyst
hace 2 semanas
San Francisco, Heredia, Costa Rica Citi A tiempo completoThe KYC Operations Sr Analyst is responsible for Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team. The overall objective of this role is to develop and manage a dedicated internal KYC (Know Your Client) program at Citi.Responsibilities:- Review submissions...
