Citi Group Compl Surveillance Sr Analyst - B12 GETZVILLE 

United States, New York 

141793204

Responsibilities:

• 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

Anticipated Posting Close Date:

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