Surveillance Intermediate Analyst - B11 - GETZVILLE

Job Description

The Surveillance Intermediate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s 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.
Responsibilities:

• Reviewing of surveillance exceptions to ensure compliance with appropriate rules, regulations and firm policies which will include analysis of trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
• Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams.
• Responding to inquiries or requests from various internal partners.
• Other responsibilities include responding to telephone hotlines and performing data entry.
• Additional duties as assigned.
• 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.
• Reconciling a database of disclosed brokerage accounts against daily electronic data feeds and monthly statements to identify both missing and undisclosed accounts.
• Coordinating with both Compliance and PTIP Covered employees to investigate and resolve any undisclosed or missing accounts.
• Initiate, respond and follow up to inquiries from employees and other broker dealers with respect to the covered account population.
• The analyst will be responsible for developing, maintaining and performing reconciliation reviews which cover specific regulations or Firm policy. The reconciliation process includes escalating matters appropriately to management, legal and the respective product coverage areas in addition to providing input on the resolution. The analyst will also be responsible for reconciling alerts generated for accounts that are either missing from the electronic data feeds or have not issued a paper statement as well as investigating and resolving alerts generated for undisclosed accounts providing electronic data feeds or paper statements. In instances of failure to collect documentation from employees per policy, analyst responsible for identifying and administering breaches Lastly, the analyst may also participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.

Qualifications:

• 2-5 years relevant experience
• 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
• Advanced project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Some knowledge in area of focus

Education:

• Bachelor's/University degree or equivalent experience; experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof ; Advanced degree preferred

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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