3 days old

Compliance Surveillance Intermediate Associate Analyst (B11)

Citigroup
Getzville, NY 14068
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:**


+ Reviewing of surveillance exceptions to ensure compliance with appropriate rules, regulations and firm policies which will include analysis of trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

+ Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams.

+ Responding to inquiries or requests from various internal partners.

+ Other responsibilities include responding to telephone hotlines and performing data entry.

+ Additional duties as assigned.

+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, 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:**


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

+ Proficiency in written and spoken English is required. Additionally, proficiency in one or more of the following languages will be given additional consideration though not required; Spanish, Portuguese, and / or French

+ 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

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

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

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

+ Some knowledge in area of focus


**Education:**


+ Bachelors degree and / or experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus


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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)


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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.
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 Intermediate Associate Analyst (B11)

Citigroup
Getzville, NY 14068

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