Compliance Product Analyst - B11

$61,120 - $85,280/Yr

Citigroup - Getzville, NY

Full-time - Entry Level

Getzville, NY

Credit Intermediation and Related Activities

About the position

The Compliance Risk Analyst for the Independent Compliance Risk Management (ICRM) Surveillance team is responsible for designing, implementing, and overseeing surveillance systems that detect potential violations of regulatory rules or internal policies. This role involves analyzing trading activities, documenting reviews, escalating issues, and collaborating with various internal partners to ensure compliance and address any identified risks.

Responsibilities

• Review surveillance exceptions to ensure compliance with rules, regulations, and firm policies, including analysis of trading activity.
• Document the review and disposition of exceptions and escalate matters appropriately.
• Participate in ad-hoc requests, special projects, and assist in responding to regulatory exams.
• Respond to inquiries or requests from various internal partners.
• Handle telephone hotline responses and perform data entry.
• Assess risk in business decisions, safeguarding the firm's reputation and assets by ensuring compliance with applicable laws and regulations.
• Reconcile a database of disclosed brokerage accounts against daily electronic data feeds and monthly statements to identify missing and undisclosed accounts.
• Coordinate with Compliance and PTIP Covered employees to investigate and resolve undisclosed or missing accounts.
• Initiate, respond to, and follow up on inquiries from employees and other broker dealers regarding the covered account population.
• Develop, maintain, and perform reconciliation reviews covering specific regulations or Firm policy.
• Investigate and resolve alerts generated for undisclosed accounts and ensure documentation is collected from employees per policy.

Requirements

• Knowledge of compliance laws, rules, regulations, risks, and typologies.
• Excellent written and verbal communication skills.
• Self-starter, flexible, innovative, and adaptive.
• Demonstrated interpersonal skills with the ability to work collaboratively at all organizational levels.
• Advanced project management and organizational skills, capable of handling multiple projects simultaneously.
• Proficient in MS Office applications (Excel, Word, PowerPoint).
• Some knowledge in the area of focus.

Nice-to-haves

• Advanced degree preferred.

Benefits

• Medical, dental & vision coverage
• 401(k)
• Life, accident, and disability insurance
• Wellness programs
• Paid time off packages including vacation, sick leave, and paid holidays