Reviewing 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.
Maintaining Level 1 (L1) Business Screening Guides, leading business calls, assisting with Production Release UAT Testing/Checkout Testing as needed.
Identifying refinements and/or enhancement opportunities and potential whitelist candidates
Playing a leadership role within the team, including leading Working Groups, assisting with New Hire/Staff Training, preparing team volume metrics and case status, maintaining team meeting agendas and meeting minutes
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.
Qualifications:
5-8 years of 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
Experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Education:
Bachelor's/University degree or equivalent experience
Advanced degree preferred
Compliance and ControlFull timeGetzville New York United States$45,440.00 - $205,200.00