Compliance Surveillance Analyst Quality Control Comms
Citi Brasil
Bombay, India
5d ago

Serves as a Quality Control compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Communication 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.
  • Key Activities include :

  • Assisting team members with the reviewing and analyzing of surveillance alerts and / or reports relating to firm, employee and client trading activity and / or eCommunications or Voice calls.
  • Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

  • Assisting team leads in responses to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, and Legal).
  • Assisting with the design, testing and implementation of new surveillances as well as the refinement of existing ones.
  • Additional duties as assignedPresent suggestions for enhancements and identify areas for improving the current processes and procedures.
  • Quality Oversight : Review outcome of alerts closed by Surveillance team for accuracy and quality of disposition, provide oversight on adherence to the escalation and operational procedures, ensure that the respective programs are executed in adherence to the Global standards, and review quality of work papers documents, reports issued and validation of corrective actionsPublishing QC reports on outcome of Quality Control review performed, provide feedback to respective program and work on cross program standardization of alerts monitoring and testing variables.

  • Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from
  • governmental and exchange regulatory bodies. 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.

    Education Level :

    Required : Bachelor’s degree and / or experience in a financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof

    Knowledge and Skills :

    Required :

  • 1-2+ years within a Compliance / Risk / Control or Operations function
  • Strong written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and on individual initiatives
  • Strong project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Discretionary : Include non-English language skills where essential (e.g. Spanish, Japanese, Cantonese, Mandarin)
  • Preferred :

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Some knowledge in area of focus

    Job Family Group :

    Compliance and Control

    Job Family : Surveillance

    Time Type : Full time

    Full time

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