Compliance Surveillance Intmd Analyst
hace 2 semanas
Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s CRM team responsible for the design, implementation, and oversight for a suite of control suites 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. This ICRM Global CRM for this focuses on the employee trading and outside activities portfolio, with special focus on a project reviewing and codifying Coverage rules.
**Responsibilities**:
- Reviewing and analyzing personal trading alerts and/or reports relating to employee 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.
- Responding to inquiries or requests from internal partners.
- Assisting with the design and implementation of new systems and frameworks as well as the refinement of existing ones focused on personal trading & outside activities risk management and coverage. Interacting with IT on the specific design and testing of new surveillances.
- Additional activities including handling telephone hotlines and performing data analysis in various systems.
- Additional duties as assigned.
**Qualifications**:
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- 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
- Knowledge of organizational tree considered an advantage
- Advanced English Required
**Education**:
- Bachelor’s degree; experience in compliance, HR Shared Services 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
- Become sufficiently familiar with securities trading practices then leverage this knowledge in compliance functions.
- Employ project management and organizational skills and capability for special assignment multiple projects while maintaining their business-as-usual tasks up-to-date.
- **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.
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