Compliance Surveillance Analyst 2, Citi

Citi

Location:
India, Mumbai

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Serves as a 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. 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.

Job Responsibility:

Assisting team members with reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity
Properly documenting the review and disposition of exceptions as well as escalating matters appropriately
Gathering and analyzing trade data to assist in the Firm’s response to inquiries from governmental and exchange regulatory bodies
Supporting the compliance group in evaluating surveillance results for potential problems
Communicating surveillance findings to management in a clear and concise manner
Interacting with legal and other compliance personnel
Responding to inquiries or requests from internal partners
Assisting with the design and implementation of new surveillances as well as the refinement of existing ones
Handling telephone hotlines and performing data entry
Appropriately assess risk when business decisions are made
Driving compliance with applicable laws, rules and regulations

Requirements:

5 years of related work experience in Compliance/Surveillance
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Proven project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Knowledge of Compliance laws, rules, regulations, risks and typologies
Some knowledge in area of focus
Bachelor’s degree
Experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Advanced degree preferred

Nice to have:

Advanced degree

What we offer:

Extensive on-the-job training and exposure to senior leaders
Traditional learning opportunities
Chance to give back and make a positive impact through volunteerism
Resources to meet unique needs
Empowerment to make healthy decisions
Support for managing financial well-being and planning for the future

Additional Information:

Job Posted:
September 27, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Compliance Surveillance Analyst 2