Compliance Analyst

Job DescriptionServes as a compliance risk analyst for Independent Compliance Risk Management(ICRM)’s Surveillance team responsible for the design, implementation, andoversight for a suite of surveillances designed to detect behaviours' that may violateregulatory rules or internal policies and procedures. When potentially anomalousbehaviour is detected, the team is responsible for escalating the activity and workingcollaboratively with partners across the first and second lines of defence todetermine the appropriate resolution of the matter, which may include employeediscipline. The ICRM Global Surveillance platform encompasses a number ofsurveillance related portfolios including trade surveillance, e-communications andvoice surveillance, employee trading, and information barrier surveillance.Responsibilities:● Reviewing and analyzing surveillance alerts and/or reports relating to firm,employee and client trading activity. Properly documenting the review anddisposition of the exceptions as well as escalating matters appropriately.● Gathering and analyzing trade data to assist in the Firm’s response toinquiries received from governmental and exchange regulatory bodies.Additionally, supporting the compliance group in evaluating surveillanceresults for potential problems, communicating surveillance findings tomanagement in a clear and concise manner as well as interacting with legaland other compliance personnel.● Additional activities including handling telephone hotlines and performingdata entry in various systems.● Can exercise independence of judgement and autonomy.● Appropriately assess risk when business decisions are made, demonstratingparticular consideration for the firm's reputation and safeguarding Citigroup,its clients and assets, by driving compliance with applicable laws, rules andregulations, adhering to Policy, applying sound ethical judgment regardingpersonal behaviour, conduct and business practices, and escalating,managing and reporting control issues with transparency.Qualifications:● For Trade Surveillance: Previous experience with SMARTS (2+ years) is essential.● For Trade Surveillance: Good product knowledge of Equities, ExchangeTraded Derivatives (ETD) or FI/FX products is required.● 3+ prior years in a Surveillance or Compliance role.● Knowledge of Compliance laws, rules, regulations, risks and typologies● Excellent written and verbal communication skills. Fluent English isessential.● Demonstrated interpersonal skills with the ability to work collaborativelyand with people at all levels of the organization● Proficient in MS Office applications (Excel, Word, PowerPoint)Preferred Skills (Communication Surveillance):● Strong Hindi, Tamil or Bengali languages (for CommunicationSurveillance)● Product knowledge of Equities, ETD, FI or FX instruments.Preferred Skills (Trade Surveillance):● Completion of the “AML-Transaction Monitoring & Suspicious TransactionReporting” training – a NISM eLearning Certification Course.Education:● Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.Email: Varun.Jain1@Straive.com