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Compliance Surveillance Analyst

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Citi

5d ago

  • Job
    Full-time
    Entry, Junior & Mid Level
  • Legal
  • Belfast

Requirements

  • 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:
  • Bachelor’s degree; or proven experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof ; Advanced degree preferred

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 Firm’s 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.
  • 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.
  • Additional duties as assigned.

Finance
Industry
10,001+
Employees
1998
Founded Year

Mission & Purpose

Citigroup Inc. or Citi is an American multinational investment bank and financial services corporation headquartered in New York City. Citi's operation is to provide financial services that enable growth and economic progress. Core activities are safeguarding assets, lending money, making payments and accessing the capital markets.

Benefits

  • Live Well, Stay Healthy

    Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.

  • Paid parental leave

    We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That’s why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world.

  • Save well, for now and your future

    We empower our employees to manage their financial well-being and help them plan for the future.

  • Keep learning

    Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.

  • Be well, take time off

    We have a variety of programs that help employees balance their work and life, including generous paid time off packages.

  • Support Your Community

    We offer our employees resources and tools to volunteer in the communities in which they live and work. In 2019, Citi employee volunteers contributed more than 1 million volunteer hours around the world.