Compliance Surveillance Sr Analyst, Citi

Compliance Surveillance Sr Analyst

Citi

Location:

Singapore, Singapore

Category:

-

Contract Type:

Not provided

Salary:

Not provided

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Job Description:

The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance Regulatory Inquiries team is responsible for timely and accurately responding to markets/trading-based regulatory inquiries issued by regulators across the Asia North and South clusters that may be indicative of violations of regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team will also be responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. This position will also assume an active leadership role in the build-out of the team’s workflow process, including a metrics-producing platform for those regulatory inquiries that fall under the team’s remit.

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

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
Bachelor’s degree or equivalent experience

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

Additional Information:

Job Posted:

March 22, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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