Lead Analyst for Compliance Surveillance

3 weeks ago

London, Greater London, United Kingdom Citigroup Inc. Full time

The Senior Compliance Risk Analyst within the Independent Compliance Risk Management (ICRM) Surveillance team plays a pivotal role in overseeing surveillance services aimed at identifying activities that may breach regulatory standards or internal guidelines. This position also entails the development and execution of new or improved surveillance measures. Upon detection of potentially irregular behavior, the team is tasked with escalating the findings and collaborating with various partners across the first and second lines of defense to ascertain the appropriate resolution.

Key Responsibilities:

  • Conducts thorough reviews and analyses of surveillance and trading activity data, contributing to the development, maintenance, and execution of surveillance assessments and reports as required.
  • Identifies potential compliance risks and escalates concerns to designated supervisors/managers and relevant product coverage areas as necessary.
  • Provides support for a diverse range of projects, including ad-hoc initiatives and regulatory examinations, ensuring compliance with applicable regulatory and legal standards.
  • Monitors compliance with ICRM's risk policies and procedures, staying informed of any regulatory changes to mitigate risks and safeguard the organization.
  • Assists in editing and maintaining ICRM program-related documentation, collaborating with other departments within Citigroup to deliver top-tier surveillance support.
  • Influences senior management decisions by advising and contributing to team deliverables and projects that impact both the team and the broader business.
  • Serves as a subject matter expert (SME) for senior stakeholders and team members.
  • Evaluates risks associated with business decisions, giving careful consideration to the company's reputation and ensuring compliance with applicable laws, rules, and regulations.

Qualifications:

  • In-depth knowledge of compliance laws, regulations, risks, and typologies.
  • Comprehensive understanding of securities trading and relevant regulations, with a proven ability to prioritize and manage multiple tasks effectively.
  • Exceptional written and verbal communication skills.
  • Ability to operate with minimal direct supervision.
  • Demonstrates independence of judgment and autonomy.
  • Acts as a subject matter expert (SME) for senior stakeholders and team members.
  • Strong interpersonal skills, capable of collaborating with individuals at all organizational levels and navigating complex structures.

Education:

  • Bachelor's degree or equivalent professional experience.

Job Family Group: Compliance and Control

Job Family: Surveillance

Time Type: Full time

Citi is an equal opportunity and affirmative action employer, committed to providing consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries invite all qualified applicants to explore career opportunities. If you require reasonable accommodation due to a disability, please review Accessibility at Citi.

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