Compliance Product Intermediate Associate Analyst - B11 - GETZVILLE

$61,120 - $85,280/Yr

Citigroup - Getzville, NY

Full-time - Entry Level

Getzville, NY

Credit Intermediation and Related Activities

About the position

The Compliance Product Intermediate Associate Analyst plays a crucial role in the Independent Compliance Risk Management (ICRM) Surveillance team, focusing on the design, implementation, and oversight of surveillance systems aimed at detecting potential regulatory violations or breaches of internal policies. This position involves analyzing trading activities, documenting findings, and collaborating with various internal partners to address compliance issues effectively.

Responsibilities

• Reviewing surveillance exceptions to ensure compliance with rules, regulations, and firm policies, including analysis of trading activity.
• Documenting the review and disposition of exceptions and escalating matters appropriately.
• Participating in ad-hoc requests, special projects, and assisting in regulatory exams.
• Responding to inquiries or requests from various internal partners.
• Handling telephone hotline responses and performing data entry.
• Assessing risk in business decisions, ensuring compliance with applicable laws and regulations, and managing control issues transparently.

Requirements

• 2 - 5 years of relevant experience in a financial services firm, regulatory organization, or legal/consulting firm.
• Knowledge of compliance laws, rules, regulations, risks, and typologies.
• Excellent written and verbal communication skills.
• Self-starter with flexibility, innovation, and adaptability.
• Demonstrated interpersonal skills for collaborative work across all organizational levels.
• Advanced project management and organizational skills, capable of handling multiple projects simultaneously.
• Proficient in MS Office applications (Excel, Word, PowerPoint).
• Bachelor's/University degree or equivalent experience.

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