Job Information
Citigroup Compliance Surveillance Sr Analyst - Personal Trading and Outside Activities (Hybrid) in Getzville, New York
The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance team is responsible for the oversight for surveillance services designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Additionally, this role is responsible for the design and implementation of new or enhanced surveillances. 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 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:
Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary.
Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate.
Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remaining compliant with regulatory and legal requirements.
Monitors adherence to ICRM’s risk policies and relevant procedures and remains abreast of any changes to regulations and or policies to prevent risk and protect the organization.
Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support.
Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business.
Acts as a subject matter expert (SME) to senior stakeholders and/or other team members.
Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival.
Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup’s reputation is safeguarded when business decisions are made.
Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, 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:
5-8 years of experience
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 responsibilities
Excellent research and analytical skills
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Has the ability to operate with a limited level of direct supervision.
Can exercise independence of judgement and autonomy.
Acts as subject matter expert (SME) to senior stakeholders and/or other team members.
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization.
Education:
- Bachelor’s degree or equivalent experience
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
Job Family Group:
Compliance and Control
Job Family:
Surveillance
Time Type:
Full time
Primary Location:
Getzville New York United States
Primary Location Full Time Salary Range:
$77,280.00 - $115,920.00
In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
Anticipated Posting Close Date:
Nov 03, 2024
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 (https://www.citigroup.com/citi/accessibility/application-accessibility.htm) .
View the "EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf) .
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Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.