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Compliance Surveillance Senior Analyst Trade Surveillance
- Primary Location: Australia,New South Wales,Sydney
- Education: Bachelor's Degree
- Job Function: Compliance and Control
- Schedule: Full-time
- Shift: Day Job
- Employee Status: Regular
- Travel Time: No
- Job ID: 19035292
Citi’sMission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.
This role services as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Trade 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 responsibilities include:
Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews
Identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas as appropriate
Generating reports, performing data analysis, and providing troubleshooting support on multiple projects. Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
Overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials
Key skills and experiences required:
Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Knowledge of Compliance laws, rules, regulations, risks and typologies
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Excellent research and analytical skills
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
Adaptable to change and willing to work in a fast paced environment with a positive attitude
When you work at Citi, you will be working for an organization that truly has a global footprint and a powerful network that spans the globe. We celebrate individual ingenuity and use the diversity of our people in order to drive high performance. Through dedicated support, training and resources, we promote our talent and future leaders to bring about lasting and positive impact. Citi Australia is an Employer of Choice for Women and supports a flexible work environment.