Compl Surveillance Sr Analyst - Trade Surveillance
Jersey City, NJ
Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)s Data Quality & Surveillance Operations team responsible for data integrity management that impacts 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 and technology to determine the appropriate resolution of the matter. 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:
Identify, triage, escalate and remediate data issues that negatively impact surveillance scenarios and surveillance reviews. Improving data quality by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
Review data scorecards and Red Metrics for surveillance, escalating and resolving data quality issues including remediation of regulatory commitments that target to improve the quality of surveillances
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.
Other responsibilities include: overseeing the monitoring to adherence to ICRMs Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; Interacting and working with other areas within Citi, as necessary; and Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
Additional duties as assigned.
- 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 SQL, data milling software, MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
- 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
- Bachelors degree; experience in data quality;, experience in compliance,, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof;experience in area of focus
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Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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