Compliance Surveillance Intermediate Associate Analyst - Personal Trading & Outside Activities

    Citigroup Inc.
    Getzville, NY 14068
    Full-time, Part-time
    Similar jobs pay $10.69 - $17.19

    Job Description



    Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Personal Trading and Outside Activities 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, personal trading, outside activities surveillance, and information barrier surveillance.

    Key Activities include:
    • Reviewing of surveillance exceptions to ensure compliance with appropriate rules, regulations and firm policies which will include analysis of trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
    • Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams.
    • Responding to inquiries or requests from various internal partners.
    • Other responsibilities include responding to telephone hotlines, email queries, and performing data entry.
    • 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
    • Advanced 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
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    Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US

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    Citi is an equal opportunity and affirmative action employer.
    Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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    Posting ID: 555229643Posted: 2020-05-26