Compliance Surveillance Analyst Job at Citi (Mumbai)

Compliance Surveillance Analyst

Citi’s Global Legal Affairs and Compliance(GLAC) empowers and protects Citi by p...

Location

India , Mumbai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Previous relevant experience preferred
Some knowledge of Compliance laws, rules, regulations, risks and typologies
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
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Bachelor’s degree
experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Advanced degree preferred

Job Responsibility

Assisting team members with the review and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity
Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
Gathering and analyzing trade data to assist in the Firm’s response to inquiries received 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 as well as interacting with legal and other compliance personnel
Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal)
Handling telephone hotlines and performing data entry
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

What we offer

Paid Parental Leave Policy
Programs to help employees balance their work and life, including generous paid time off packages
Resources to manage financial well-being and plan for the future

Fulltime

Compliance Surveillance Sr Analyst

The senior compliance risk analyst for Independent Compliance Risk Management (I...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

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

Job Responsibility

Gathering, reviewing, investigating and analyzing trade data in furtherance of responding to regulatory inquiries issued by regulators across the Asia North and South clusters
Leveraging regulatory inquiries to detect regulatory trends and areas of focus, and to spot potential enhancements to ICRM trade surveillance parameters and thresholds
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
Overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures
Preparing, editing and maintaining ICRM program related materials
Interacting and working with other areas within Citi, as necessary
Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

What we offer

Access to telehealth options, health advocates, confidential counseling
Access to an array of learning and development resources
Generous paid time off packages
Resources and tools to volunteer in the communities

Fulltime

Trade Surveillance Analyst 1

Serves as a compliance risk analyst for Independent Compliance Risk Management (...

Location

India , Pune

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Should have over 3 years of experience in trade surveillance
Some knowledge of Compliance laws, rules, regulations, risks and typologies
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
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Some knowledge of Compliance laws, rules, regulations, risks and typologies
Some knowledge in area of focus

Job Responsibility

Assisting team members with the review and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity
Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
Gathering and analyzing trade data to assist in the Firm’s response to inquiries received 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 as well as interacting with legal and other compliance personnel
Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal)
Other responsibilities include handling telephone hotlines and performing data entry
Additional duties as assigned
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

Compl Surveillance Analyst 1

Citi’s Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by ...

Location

India , Mumbai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Previous relevant experience preferred
Some knowledge of Compliance laws, rules, regulations, risks and typologies
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
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Bachelor’s degree
experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Advanced degree preferred

Job Responsibility

Assisting team members with the review and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity
Gathering and analyzing trade data to assist in the Firm’s response to inquiries received 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 as well as interacting with legal and other compliance personnel
Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal)
Handling telephone hotlines and performing data entry
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

What we offer

Expanded Paid Parental Leave Policy
Programs to help employees balance their work and life, including generous paid time off packages
Resources to manage financial well-being and plan for the future

Fulltime

Surveillance Senior Analyst

The senior compliance risk analyst for Independent Compliance Risk Management (I...

Location

Japan , Chiyoda

Salary:

Not provided

Citi

Expiration Date

Until further notice

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

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 remaining 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, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

Sales Surveillance Senior Analyst (Wealth Management)

This role is part of the Asia Citi Wealth Risk and Control Team and is integral ...

Location

Malaysia , Kuala Lumpur

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

At least 2-3 years of relevant experience
Demonstrated organizational and follow-up skills
Ability to multi-task and maintain composure in a high-volume environment
Excellent time management skills
Effective communication skills (written and verbal)
Proven analytical/problem solving abilities
Proficient in Microsoft Office
Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements
Self-motivated and details oriented
Prior experience in sales, compliance or controls would be an advantage

Job Responsibility

Review and disposition of alert triggers based on investigation results
Document exception findings, tracking of corrective actions and its completion
Prepare trend analysis and surveillance reports for management reporting
Provide feedback and coaching on correct phone sales process to Sales Representatives
Provide consultations to other internal departments on sales process and branch operational matters
Report and document the Quality of Work / Exception / Observation report of Sales Representatives
Continuously seek process improvement to enhance efficiency of the surveillance monitoring process
Review and update of policies and unit procedures
Implementation of processes and procedures as per the compliance and business requirements
Updates documentation and communicating / training new processes and procedures to business partners

What we offer

Programs and services for physical and mental well-being including access to telehealth options, health advocates, confidential counseling
Access to an array of learning and development resources
Variety of programs that help employees balance their work and life

Fulltime

Canada Compliance Risk Management Sr. Analyst

The AVP, Canada Compliance Risk Management Sr. Analyst serves as a senior compli...

Location

Canada , Toronto

Salary:

Not provided

Citi

Expiration Date

Until further notice

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

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

Fulltime

Call Monitoring Analyst

As an Investments and Insurance Sales Surveillance Officer, you are responsible ...

Location

Malaysia , Kuala Lumpur

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

At least 1 to 2 years of banking experience in consumer banking products and processes
Prior experience in a customer service, sales or compliance would be an advantage
Good understanding of local sales advisory regulations
Bachelor’s degree or equivalent work experience
Excellent judgment and assessment skills
Excellent communication skills
Confident, concise, clear and impactful
Excellent work ethic
Excellent organization and prioritization skills
Able to multi task

Job Responsibility

Review and disposition of alert triggers based on investigation results
investigations could involve document/ call reviews, analyze client behaviors based on client KYC, account info, customer surveys etc
Listen to voice logs (Investment/Insurance Call Monitoring), particularly for Hong Kong market
Document exception findings, tracking of corrective actions and its completion at individual alert level and at review level
Prepare trend analysis and surveillance reports for management reporting
Provide feedback and coaching on correct phone sales process to Sales Representatives
Provide consultations to other internal departments on sales process and branch operational matters
Report and document the Quality of Work report of Sales Representatives
Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps
Review and update of policies and unit procedures

Fulltime

Compliance Surveillance Analyst

Citi

Location:
India , Mumbai

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Additional Information:

Job Posted:
March 22, 2025

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