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Senior Analyst in Compliance Risk Management
2 months ago
The Senior Compliance Risk Analyst within the Independent Compliance Risk Management (ICRM) Surveillance team plays a pivotal role in overseeing surveillance operations aimed at identifying behaviors that may contravene regulatory standards or internal protocols. This position also entails the development and execution of innovative or improved surveillance mechanisms. Upon detecting potentially irregular activities, the team is tasked with escalating the issue and collaborating with partners across the first and second lines of defense to ascertain the appropriate resolution of the situation. The ICRM Global Surveillance framework includes various surveillance-related portfolios such as trade monitoring, electronic communications, voice surveillance, employee trading, outside activities oversight, and information barrier monitoring.
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 needed.
- Identifies potential compliance risks and escalates concerns to designated supervisors/managers and relevant product coverage areas as necessary.
- Provides support for troubleshooting across a range of projects, including ad-hoc initiatives and regulatory examinations directed by other compliance and legal departments, ensuring adherence to regulatory and legal standards.
- Monitors compliance with ICRM's risk policies and relevant procedures, staying informed of any regulatory or policy changes to mitigate risks and safeguard the organization.
- Assists in editing and maintaining ICRM program-related documentation and collaborates with other Citi departments to deliver exceptional surveillance support.
- Influences senior management decisions by advising, counseling, and contributing to team outputs and projects that affect both the team and the organization.
- Serves as a subject matter expert (SME) to senior stakeholders and/or team members.
- Evaluates risks associated with business decisions, demonstrating a strong focus on the company's reputation and the protection of Citi, its clients, and assets by ensuring compliance with applicable laws, rules, and regulations, adhering to policy, exercising sound ethical judgment regarding personal conduct and business practices, and transparently managing and reporting control issues.
Qualifications:
- In-depth knowledge of compliance laws, regulations, risks, and typologies.
- General understanding of securities trading and related regulations, with a proven ability to prioritize and manage multiple responsibilities effectively.
- Exceptional written and verbal communication skills.
- Ability to operate with minimal direct supervision.
- Capacity to exercise independent judgment and autonomy.
- Acts as a subject matter expert (SME) to senior stakeholders and/or team members.
- Demonstrated interpersonal skills with the ability to collaborate effectively with individuals at all organizational levels, as well as navigate complex organizational structures.
Education:
- Bachelor's degree or equivalent experience.
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.
Citigroup Inc. and its subsidiaries 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.
