Citi's Surveillance team has responsibility 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. This role will be in a Senior Analyst capacity, responsible for providing support to the EMEA Communications Surveillance program and management team to drive the successful delivery and execution of key projects identified. The role will provide support to the L2 Team Lead and across the group in the use of use of technology, global standards and adherence to all outlined policies and procedures.
The position will involve a number of responsibilities including but not limited to:
The Compliance Surveillance Sr. Analyst will be responsible for data review and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews
The Sr. Analyst is responsible for identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas as appropriate
The Sr. Analyst must be able to generate reports, perform data analysis, and provide troubleshooting support on multiple projects. The Sr. Analyst will also support aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements
The Sr. Analyst may participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
Additional responsibilities of the role include: Overseeing the monitoring to adherence to Citi's Compliance Risk Policies and relevant procedures; Preparing, editing and maintaining Compliance program related materials; Interacting and working with other areas within Citi, as necessary; and Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
Knowledge, skills and experience required:
Experience in compliance, legal or other control-related function in a financial services firm or regulatory experience.
Recent experience working in a trading or broker-dealer environment
Good Industry experience required.
Knowledge of Compliance laws, rules, regulations, risks and typologies
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Strong research and analytical skills
Strong written and verbal communication skills
The ideal candidate will have extensive years of relevant work experience
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
The candidate should be adaptable to change and willing to work in a fast paced environment with a positive attitude
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.
Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.
Citi is an Equal Opportunities Employer
Internal Number: 6094990
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