Trade Surveillance Analyst, Citi

Citi

Location:
India, Mumbai

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Serves as a compliance risk analyst responsible for the design, implementation, and oversight of surveillances designed to detect behaviors that may violate regulatory rules or internal policies. Responsibilities include analyzing trade data, escalating irregular behaviors, and collaborating with legal and compliance teams. The role requires strong communication and project management skills alongside expertise in compliance laws and MS Office applications.

Job Responsibility:

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. ICRM Assurance, Internal Audit, and Legal)
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 assessing risk when business decisions are made
Driving compliance with applicable laws, rules and regulations
Adhering to Policy and applying sound ethical judgment
Escalating, managing and reporting control issues with transparency

Requirements:

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
5+ years assisting team members with the reviewing and analyzing of surveillance alerts and/or reports relating to firm, employee and client trading activity
Bachelor’s degree
experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
Advanced degree preferred

What we offer:

Best-in-class benefits such as options to be well, live well and save well
Equal opportunity employer policy

Additional Information:

Job Posted:
May 08, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Trade Surveillance Analyst