Role 1 - Personal Trading Experience

Role 2 - Ecomm Surveillance

Role 3 - Registration & Licensing Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance & Employee License Compliance 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 personal trading, and information barrier surveillance.

This role is specifically related to the Employee Personal Trading program.

Responsibilities: ·Reviewing and analyzing manual statements provided by employees, confirming that they are complete and accurate, and reconciling them against preclearance requests in the Compliance portal.

·Identification of anomalies such as trading covered financial products without preapproval or ignoring rejected preclearance requests. Analysts are required to have a detailed understanding of which products are covered and apply reconciliations and assessments accordingly.

·Performing reviews regarding the disclosure or closure of trading accounts by recent joiners and existing employees,



checking for timeliness and omissions and making sure that they are compliant with the Citi Personal Trading & Investments Policy (PTIP) and preferred broker requirements.

·Additional activities may include handling telephone hotlines and mail enquiries from Citi staff across Asia, the UK and US.

·Must exercise independence of judgement and autonomy.

·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.

Qualifications: ·Previous experience in Personal Trading or operational Compliance roles.

·Experience analyzing and reconciling data across complex data sets, with demonstrable close attention to detail.

·Product knowledge of instruments typically traded by retail customers is preferred.

·2+ prior years in a Surveillance or Compliance role.

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

·Excellent written and verbal communication skills.

Fluent

English is essential.

·Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

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

·Experience working for brokers is preferable.

Education: ·Bachelor’s 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;

experience in area of focus

📌 Compliance Specialist (Mumbai)
🏢 Artech Infosystem Private
📍 Mumbai