Job Description
Serves as a compliance risk analyst for Independent Compliance Risk Management
(ICRM)’s Surveillance team responsible for the design, implementation, and
oversight for a suite of surveillances designed to detect behaviours' that may violate
regulatory rules or internal policies and procedures. When potentially anomalous
behaviour is detected, the team is responsible for escalating the activity and working
collaboratively with partners across the first and second lines of defence 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, and information barrier surveillance.

Responsibilities:
● 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 Firm’s 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 transparent and concise manner as well as interacting with legal
and other compliance personnel.
● Additional activities including handling telephone hotlines and performing
data entry in various systems.
● Can 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 behaviour, conduct and business practices, and escalating,
managi

📌 Compliance Analyst (Mumbai)
🏢 Straive
📍 Mumbai