Senior Compliance Analyst - Surveillance','18033579','!*!Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi’s Mission and Value Proposition explain 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.
The Employee Trading Surveillance Group (ETSG) objective is to promote compliance with the laws and regulations designed to prevent inappropriate use of an individual’s position or relationship with Citi and its clients. This is primarily done through the implementation of the firm’s internal trading policies. The team is responsible for monitoring the personal brokerage account trading for individuals covered by these policies.
ETSG achieves this in part by:
Maintains, advises, and oversees compliance with the policies related to employee trading; and;
Pre-clearing employee personal trading for those in job functions for which they have been deemed to have actual or perceived access to non-public information of publicly traded companies; and
Monitoring that trading by the use of various surveillance tools. The analyst will be responsible for developing, maintaining and performing surveillance reviews which cover specific regulations or Firm policy. The surveillance process includes escalating matters appropriately to management, legal and the respective product coverage areas in addition to providing input on the resolution. The analyst will also be responsible for addressing employee preclearance requests received electronically and via hotline calls as well as performing data entry of trading restrictions. Lastly, the analyst may also participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.','!*!The ideal candidate must have an undergraduate degree with 2-3 years of experience in capital markets or securities compliance.
The candidate should have a general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.
Strong interpersonal, verbal and written communication skills in addition to excellent research and analytical skills are a must.
The candidate should be adaptable to change and willing to work in a fast paced team environment with a keen attention to detail.
Advanced experience using the standard suite of MS Office products in addition to comfort using systems in general is also preferred.
Securities licenses such as the Series 7 are also encouraged but not required. ','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','Citi won’t discriminate against anyone for discussing pay, but those with access to pay data in their work can’t disclose it unless responding to complaints/investigations or legal requirements.','NAM-USA-NY-Buffalo','','Compliance and Control','Full-time','Bachelor's Degree','Day Job','Regular','No','','','Senior Compliance Analyst - Surveillance'
Website : http://www.citigroup.com
Citi works tirelessly to provide consumers, corporations, governments and institutions with a broad range of financial products and services. We strive to create the best outcomes for our clients and customers with financial solutions that are simple, creative and responsible.