Senior Compliance Risk Analyst

2 days ago

Jersey City, New Jersey, United States Citigroup Inc Full time

Serves as a key member of the Independent Compliance Risk Management (ICRM) Surveillance team, responsible for designing, implementing, and overseeing a suite of surveillances to detect behaviors that may violate regulatory rules or internal policies and procedures.

When potentially anomalous behavior is detected, the team collaborates with partners across the first and second lines of defense to determine the appropriate resolution, which may include employee discipline.

The ICRM Global Surveillance platform encompasses various surveillance portfolios, including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.


Key Responsibilities:
  • Reviewing data and analysis of surveillance and trading activity, developing, maintaining, and performing surveillance reviews.
  • Identifying potential risks for the Firm and escalating matters to designated managers and legal representatives as appropriate.
  • Generating reports, performing data analysis, and providing troubleshooting support on multiple projects.
  • Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements.


Additional responsibilities include overseeing monitoring adherence to ICRM's Risk Policies and relevant procedures, preparing and maintaining program-related materials, interacting with other areas within Citi, and staying abreast of regulatory changes and internal policy updates.

Has the ability to operate with a limited level of direct supervision and exercise independence of judgment and autonomy.

Acts as a subject matter expert to senior stakeholders and/or other team members.

Appropriately assesses risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets by driving compliance with applicable laws, rules, and regulations.


Qualifications:
  • Knowledge of Compliance laws, rules, regulations, risks, and typologies.
  • A general understanding of securities trading and corresponding regulations, with the ability to prioritize and manage multiple projects.
  • Excellent research and analytical skills, as well as excellent written and verbal communication skills.
  • A self-starter with flexibility, innovation, and adaptability, and demonstrated interpersonal skills with the ability to work collaboratively with people at all levels of the organization.
  • Excellent project management and organizational skills, with the ability to handle multiple projects simultaneously.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).
  • Knowledge in the area of focus, with the ability to work collaboratively with regional and global partners in other functional units.

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