12 days old

Compliance Surveillance Analyst 1

Citigroup
Belfast, ME 04915
**Overview of Citi:**


Citi, the world leading global bank, has approximately 200 million customer accounts and a presence in more than 160 countries and jurisdictions worldwide. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Citi enables clients to achieve their strategic financial objectives by providing them with cutting-edge ideas, best-in-class products and solutions, and unparalleled access to capital and liquidity.


**The Role:**


Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)s Surveillance 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, employee trading, outside activities surveillance, and information barrier surveillance.


**Responsibilities:**


+ Assisting team members with the review and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

+ Gathering and analyzing trade data to assist in the Firms response to inquiries received from governmental and exchange regulatory bodies. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

+ Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal).

+ Other responsibilities include handling telephone hotlines and performing data entry.

+ Additional duties as assigned.


**Qualifications:**


+ Previous relevant experience preferred.

+ Some 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.

+ Strong project management and organizational skills and capability to handle multiple projects at one time.

+ Proficient in MS Office applications (Excel, Word, PowerPoint).

+ Some knowledge of Compliance laws, rules, regulations, risks and typologies.

+ Some knowledge in area of focus.


**Education:**


+ Bachelors degree or experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree preferred.


**What We Offer:**


As well as a competitive salary and consideration for a yearly discretionary bonus Citi offer;


+ 23 days paid annual leave

+ Award winning pension scheme,

+ Life assurance and

+ Private medical insurance with Bupa healthcare.


In addition, we offer a competitive maternity, paternity and adoption leave scheme and employees also have the option (provided they have a student loan from the Student Loan Company) to divert saver and company match contributions to their student loan. We pride ourselves on our ability to offer employees a number of lifestyle benefits including; on site restaurant and coffee shops, online shopping and concierge service and subsidised clubs and societies.


Our select benefit package offers you the opportunity to customise your benefits according to your own lifestyle preferences and includes corporate discounts, memberships and a range of additional extras.


Our vast range of diversity networks and on site multi faith room demonstrates Citis commitment to growing a diverse workforce.


**Preferred:**


+ Knowledge of Compliance laws, rules, regulations, risks and typologies

+ Knowledge in area of focus


**Other:**


+ Exposure to handling sensitive/confidential information will be advantageous.

+ Previous Investigations experience advantageous.

+ Proven track record in delivering results in a challenging and changing environment.

+ Exposure to/interest in the financial regulatory sector.

+ Previous experience in an Operations role advantageous

+ The commitment to learn how to develop, implement and run a series of proactive surveillance tools.

+ Language skills will be advantageous.


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**Job Family Group:**


Compliance and Control

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**Job Family:**


Surveillance

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**Time Type:**


Full time

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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) .


View the EEO Policy Statement (http://citi.com/citi/diversity/assets/pdf/eeo\_aa\_policy.pdf) .


View the Pay Transparency Posting (https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp\_%20English\_formattedESQA508c.pdf)
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Categories

Posted: 2022-05-13 Expires: 2022-06-12

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Compliance Surveillance Analyst 1

Citigroup
Belfast, ME 04915

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