Communications Surveillance Analyst

  • Competitive
  • Belfast, Northern Ireland, United Kingdom
  • Permanent, Full time
  • Citi
  • 20 Apr 19

Communications Surveillance Analyst

  • Primary Location: United Kingdom,Northern Ireland,Belfast
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 19016616


Description

Job Description:

Function background/context:

Compliance proactively identifies, assesses, reports and mitigates compliance and reputational risks across business lines, products, legal entities and jurisdictions to the benefit of our franchise, customers and employees. Compliance sets standards, and uses an enterprise-wide compliance risk management approach in partnership with the business and other Global Functions to drive a strong culture of compliance and control, and support the principles of Responsible Finance. Compliance is committed to providing sound, independent advice and excellence in execution.

Job Purpose:

The Communications Surveillance group performs monitoring, review and investigation to support the firm in identifying and mitigating market abuse. The group proactively assesses and reports compliance and reputational risk across communication and trading platforms, business lines, products and entities. The Surveillance group works in close partnership with the Product Compliance, Technology and Surveillance groups globally.

The analyst will be responsible for reviewing alerts generated by the Communication Surveillance systems for adherence to all pre-defined policies and procedures and ensure effective escalation of activities observed which are outside of regulatory and company policy and standards.

Key Responsibilities:

The position will involve a number of responsibilities including but not limited to:

• Support the group on a day to day basis to ensure all BAU activities are completed accurately and to the highest standard.
• Act as a point of reference for the Surveillance group around supervision related activities.
 Act as a point of reference in matters relating to personal account dealing and outside business interest disclosures.
• Assisting in the proactive resolution of compliance risk and control issues identified daily.
• Investigating and resolving compliance and regulatory issues arising from surveillance monitoring.
• Collaborate and partner closely with global colleagues, Markets Risk and Product Compliance groups to raise and resolve items identified as possible risk to the firm.
• Present suggestions for enhancements and identify areas for improving the current processes and procedures.
• Assisting Team Leader with project work which may include increasing coverage of surveillance, implementing new systems and assisting with system testing.
• Working closely with the Firm's Global Legal and Compliance teams, particularly with regards to communication of apparent anomalies and in conducting special investigations and responding to supervision queries.

Development Value:

The successful candidate, as part of the wider Surveillance Compliance team, will undertake a broad variety of tasks many of which entail direct and regular interactions with senior stakeholders, both regionally and globally. Broadening experience of the EMEA compliance and regulatory regime.

• Develop a detailed understanding of the CEP Markets businesses, its products and processes and how it operates within a large organization
•  Build effective prioritization skills as the job entails dealing with multiple conflicting priorities in a time pressured environment
• Grow a wide network across both the Front Office Markets business and support functions to foster collaboration and learning
• Senior Management exposure
• The successful candidate will have the opportunity for future career progression within the regional MSS business

Valuing Diversity:

Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success

Qualifications

Knowledge / Experience:

• Exposure to handling sensitive/confidential information will be advantageous.
• Previous Investigations experience advantageous.
• Proven track record in delivering results in a challenging and changing environment.
• Exposure to/interest in the financial regulatory sector.
• Exposure to UK and US Financial Regulations advantageous
• Previous experience in an Operations role advantageous
• The commitment to learn how to develop, implement and run a series of proactive surveillance tools.
• Highly organised and methodical with close attention to detail.
• Language skills will be advantageous.

Qualifications:

• Bachelor's degree/University level education however exceptional candidates who do not meet the criteria may be considered for the role provided they have the necessary skills and experience.

Skills:

• Strong interpersonal and team-building skills 
• Motivated, enthusiastic and positive
• Strong attention to detail 
• Strong written and oral communication skills
• Highly organised, efficient and able to multi-task
• Strategic and goal-oriented focus
• Self-Starter
• Able to work on own initiative.
• Motivated, enthusiastic and positive
• Strong written and oral communication skills
• Excellent judgement and analytical skills
• Unwavering commitment to co-operative and collaborative working.

Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.

Valuing Diversity:

Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.

Citi is an Equal Opportunities Employer