Trade Compliance Analyst Job at Robert Half (Palo Alto)

Analyst, Compliance Product Officer

This role serves as a compliance risk officer for the Control Room within Indepe...

Location

India , Mumbai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Knowledge of Compliance laws, rules, regulations, risks and typologies - in particular those related to watchlist, restricted list, wall crossings, information barriers and insider trading/dealing preferred
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong written and verbal communication and interpersonal skills
Ability to both work collaboratively and independently
ability to navigate a complex organization
Advanced analytical skills
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Demonstrated knowledge in area of focus

Job Responsibility

Assist in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM Control Room
Provide guidance on rules and regulations relating to insider dealing risk, as well as provide transactional approvals and interpretation of internal compliance policies
Assist with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties
Collaborate with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported business lines
Support the business in performing timely compliance reviews of new products
Assist in the development and administration of Compliance training for the supported function/business/product
Research any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules
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

What we offer

Programs and services for physical and mental well-being including access to telehealth options, health advocates, confidential counseling
Access to learning and development resources to help broaden and deepen skills and knowledge as career progresses

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

Compliance Analyst

insightsoftware is seeking a detail-oriented and proactive Compliance Analyst to...

Location

United States , Remote

Salary:

Not provided

insightsoftware

Expiration Date

Until further notice

Requirements

Bachelor's degree in information security, Cybersecurity, Computer Science, Risk Management, Legal Studies, Business Administration, or related field
Minimum 3+ years of experience in compliance program management, risk management, or information security roles, preferably in regulated industries or technology companies
Demonstrated experience responding to third-party risk assessments, security audits, customer security questionnaires, RFPs, and compliance due diligence requests
Working knowledge of regulatory frameworks and standards (e.g., ISO 27001, SOC 2 (Type II), NIST, FedRAMP, CMMC, PCI DSS, GDPR, CCPA), trade control regulations (EAR, ITAR), anti-bribery/corruption laws (FCPA, UK Bribery Act), and data privacy principles
A strong knowledge of at least one regulatory framework governing matters pertaining to data privacy, cybersecurity, trade compliance, or third-party risk management
Experience with third-party screening tools and vendor risk management platforms
Familiarity with GRC or data protection management platforms (e.g., OneTrust, ServiceNowMetricStream)

Job Responsibility

Support the development, implementation, and maintenance of a global compliance program, including trade compliance, anti-bribery/corruption, anti-trust, and business ethics
Conduct secondary screening of third parties (vendors, partners, customers) , and assess potential matches against government watchlists of denied, debarred, sanctioned, or restricted parties to ensure compliance with applicable trade compliance, export control and sanctions regulations (e.g., U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC"), U.S. Department of Commerce Bureau of Industry and Security ("BIS"), U.K. Office of Financial Sanctions Implementation ("OFSI"), European Union, and United Nations)
Assist with export classification determinations and licensing requirements for software products and services, including evaluation of Export Control Classification Numbers ("ECCNs")
Support the company's compliance with applicable data protection regulatory frameworks (e.g., GDPR, CCPA)
Support the Corporate Counsel, Data Privacy, AI, Cybersecurity with data protection initiatives and obligations including data mapping exercises, processing activity records, and privacy impact assessments, and coordinate responses to data subject access requests ("DSARs") and privacy-related inquiries
Support privacy management tools and platforms for consent management and privacy workflow automation
Partner with company counsel, InfoSec, and other stakeholders with compliance audits, data privacy questionnaires, and third-party risk assessment processes including vendor due diligence and ongoing monitoring
Support risk and control self-assessments ("RCSA"), audit management, and remediation tracking
Collaborate with stakeholders including the Chief Information Security Officer ("CISO") and the team to quantify, monitor, and report on security and compliance performance
Maintain GRC platforms (e.g., ServiceNow, Archer, MetricStream) to track compliance activities, risks, and controls

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 Settlements Analyst

This newly created Trade Settlements role involves processing trade confirmation...

Location

United States , Houston

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor's Degree in Accounting
3 plus year's settlements experience
energy trading industry experience
Advanced Microsoft Excel

Job Responsibility

Process trade confirmations, settlements, and discrepancies to ensure accuracy and compliance with industry regulations
Coordinate with trading and financial teams to resolve issues through collaboration and effective communication
Maintain accurate records of all trades and settlements, providing reports for reconciliation purposes
Support the monthly and quarterly close processes, contributing to timely financial reporting

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

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

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 Analyst

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
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

Extensive on-the-job training and exposure to senior leaders
More traditional learning
Opportunity to give back and make a positive impact through volunteerism
Expanded Paid Parental Leave Policy
Programs to help employees balance their work and life, including generous paid time off packages
Empowerment to manage financial well-being and plan for the future

Fulltime

Trade Compliance Analyst

Robert Half

Location:
United States , Palo Alto

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
January 31, 2026

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