Compliance Surveillance Senior Analyst - Assistant Vice President

Posted:
8/6/2024, 5:00:00 PM

Location(s):
England, United Kingdom ⋅ London, England, United Kingdom

Experience Level(s):
Expert or higher ⋅ Senior

Field(s):
Legal & Compliance

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.
  • 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:

  • 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 written and verbal communication skills
  • 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

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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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