• Compliance Surveillance Intermediate Analyst Jobs in Mumbai,India

  • Citibank India
  • Save Job
  • 0 - 3 Years
  • Posted : above 1 month

Job Description:

Compliance Surveillance Intermediate Analyst - 19030068


Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)s Communication 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 When potentially anomalous behavior is detected, the team is 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 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

Key Activities include

Reviewing and analyzing 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 Firms response to inquiries received from governmental and exchange regulatory bodies Additionally, 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 (eg ICRM Assurance, Internal Audit, Legal)

Assisting with the design and implementation of new surveillances as well as the refinement of existing ones Interacting with IT on the specific design and testing of new surveillances

Additional activities including handling telephone hotlines and performing data entry in various systems

Additional duties as assigned


Education level and/or relevant experience(s)

Required Bachelors degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Knowledge and skills (General and Technical)


Knowledge of Compliance laws, rules, regulations, risks and typologies

Excellent written and verbal communication skills

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 project management and organizational skills and capability to handle multiple projects at one time

Proficient in MS Office applications (Excel, Word, PowerPoint)

Some knowledge in area of focus

Preferred Advanced degree (eg JD, MBA) a plus

Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Banking
Functional Area : Banks/Insurance/Financial Services
Role : Banking -General
Salary : As per Industry Standards
Deadline : 07th Jan 2020

Key Skills:

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