Surveillance Intermediate Analyst

Surveillance Intermediate Analyst

Requirements

• 2-5 years relevant experience
• 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
• Advanced 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

Responsibilities

• Reviewing of surveillance exceptions to ensure compliance with appropriate rules, regulations and firm policies which will include analysis of trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
• Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams.
• Responding to inquiries or requests from various internal partners.
• Other responsibilities include responding to 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.
• Reconciling a database of disclosed brokerage accounts against daily electronic data feeds and monthly statements to identify both missing and undisclosed accounts.
• Coordinating with both Compliance and PTIP Covered employees to investigate and resolve any undisclosed or missing accounts.
• Initiate, respond and follow up to inquiries from employees and other broker dealers with respect to the covered account population.
• The analyst will be responsible for developing, maintaining and performing reconciliation reviews which cover specific regulations or Firm policy. The reconciliation process includes escalating matters appropriately to management, legal and the respective product coverage areas in addition to providing input on the resolution. The analyst will also be responsible for reconciling alerts generated for accounts that are either missing from the electronic data feeds or have not issued a paper statement as well as investigating and resolving alerts generated for undisclosed accounts providing electronic data feeds or paper statements. In instances of failure to collect documentation from employees per policy, analyst responsible for identifying and administering breaches. Lastly, the analyst may also participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.

Preferred Qualifications

• Advanced degree preferred