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Canada Compliance Risk Management Sr. Analyst

https://www.citi.com/ Logo

Citi

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Location:
Canada , Toronto

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Category:
Finance

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Contract Type:
Employment contract

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Salary:

Not provided
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Job Description:

The AVP, Canada Compliance Risk Management Sr. Analyst serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s 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. This individual will focus on the Personal Trading and Outside Activities (PTOA) in Canada and is responsible for implementing procedures designed to detect behaviors that may violate the Personal Trading and Investment Policy (PTIP) and Outside Directorships and Business Interests Policy (ODBI). Additional responsibilities include escalating policy breach activities and working collaboratively with various teams across Citi to resolve complex matters.

Job Responsibility:

  • Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary
  • Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate
  • Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remain compliant with regulatory and legal requirements
  • Monitors adherence to ICRM’s risk policies and relevant procedures and remains abreast of any changes to regulations and/or policies to prevent risk and protect the organization
  • Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support
  • Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business
  • Acts as a subject matter expert (SME) to senior stakeholders and/or other team members
  • Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival
  • Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup’s reputation is safeguarded when business decisions are made
  • Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, its clients and assets
  • Raise issues with IT on gaps identified as part of processing/interacting with Personal Trading team or employees
  • Provide support to employees and LATAM Personal Trading team as required
  • Participate in the execution of the Canada MCA program in accordance with applicable Citi policy documents
  • Conduct required MCA activities, conduct monitoring and document evidence of completion of activities and monitoring as per MCA requirement
  • 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
  • Preparing, editing and maintaining ICRM program-related materials

Requirements:

  • 5-8 years of experience
  • 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 responsibilities
  • Excellent research and analytical skills
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Has the ability to operate with a limited level of direct supervision
  • Can exercise independence of judgement and autonomy
  • Acts as subject matter expert (SME) to senior stakeholders and/or other team members
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization
  • 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)
  • 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

Additional Information:

Job Posted:
April 26, 2025

Employment Type:
Fulltime
Work Type:
Hybrid work
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