Canada Compliance Risk Management Sr. Analyst, Citi

Citi

Location:
Canada, Toronto

Category:
Finance

Contract Type:
Employment contract

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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Canada Compliance Risk Management Sr. Analyst