Compliance Surveillance Senior Analyst AVP Personal Trading amp Outside Activities

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Compliance Surveillance Senior Analyst, AVP – Personal Trading & Outside Activities
Duties: Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Personal Trading & Outside Activities team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors (such as insider trading risk or managing conflicts of interest) 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, personal trading and outside activities, and information barrier surveillance. Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews. Administering internal systems related to personal trading requirements such as preclearance, supervisor preapproval and supervisory post trade review Assisting employees with Policy questions via employee trading hotline Identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas 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. Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments. Other responsibilities include: overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; Interacting and working with other areas within Citi, as necessary; and Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Additional duties as assigned.

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