Citi Group Compliance Surveillance Intermediate Associate 

United States, New York 

481110533

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.

Qualifications:

• 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 degree; 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.

Anticipated Posting Close Date:

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