Compliance Surveillance Sr. Analyst

Profile

Compliance Surveillance Sr. Analyst
The candidate will perform duties include: 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. Will work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization.

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