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 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 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 explicit 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 behavior, conduct and business practices, and escalating, managing
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📌 Senior Compliance Analyst (Mumbai)
🏢 Straive
📍 Mumbai