Analista Pleno de Compliance

The Compliance Surveillance Intermediate Analyst (Analista Pleno de Compliance) serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors 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, employee trading, outside activities surveillance, and information barrier surveillance.
Main activities:
- Reviewing and analyzing 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. Additionally, 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.
- Participate in bespoke projects in conjunction with other local and Global surveillance teams.
Key Activities include:
- Completing thorough periodic review of output from surveillance systems to ensure optimal quality is being achieved.
- Assisting management in responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit and Legal).
- Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances.
- Assist in the effective documentation for enhancements and changes to process and procedures; Analyzing and collating MIS to support the metrics model for surveillance within agreed timeframes and to a high standard.
- Additional activities including handling telephone hotlines and performing data entry in various systems.
- Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, Legal).
- Additional duties as assigned.
**Qualifications**:
- 2+ years within a Compliance / Risk / Control function.
- Knowledge of Compliance laws, rules, regulations, risks and typologies.
- Excellent written and verbal communication skills.
- Must be a self-starter, flexible, innovative and adaptive.
- Strong 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.
- Some knowledge in area of focus.
- Proficient in English (read, write, speaking).
- PQO Certification.
**Preferred**:
- Experience in Equities, Foreign Exchange (FX), Credit, Rates or Commodities markets gained in a trading or operations capacity.
- Strong knowledge of trade lifecycles / trade flows.
- Previous investigative experience.
- Advanced degree (e.g. JD, MBA) and Spanish a plus.
**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.
C11
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Surveillance
- **Time Type**:
Full time
- Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.
View the **EEO Policy Statement**.
View the **Pay Transparency Posting

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