Compliance Surveillance Analyst

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Job ID:

269574
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Job Function:

Banking / Finance: Banking

Job Location:

Hong Kong SAR

Posted:

03.14.2019
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Job Description:

Compliance Surveillance Analyst

Location: APAC-Hong Kong SAR of PRC

Key Activities:

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, outside activities surveillance, and information barrier surveillance.

Key Activities include:

  • Assisting team members with the review and analysis of 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. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
  • Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal)
  • Handling telephone hotlines and performing data entry.
  • Responsible, as part of a team, for daily group-wide monitoring and disclosure across 15 jurisdictions in APAC (ex-Japan) to identify substantial positions in relevant securities against reportable thresholds or regulatory position limits such as foreign ownership, sensitive sectors and takeovers, etc.
  • Assist manager and senior team members in preparing response to enquiries from the regulators, external and internal stakeholders about the Bank’s disclosure position.
  • Investigate large variations of substantial shareholdings for these countries. This involves interacting with the regional Middle Office and Operations team generally located in Hong Kong or Singapore, as well as, with SPIDER Operations Team based in Manila and US.
  • Maintain regulatory requirements in SPIDER for the countries within your scope of review. This requires knowledge of the regulatory requirements that can be acquired on the job.

Qualifications

Knowledge and Skills:

  • Experience in compliance, risk management, or regulatory related function in the financial services industry;
  • Preference will be given to candidates with relevant experience in disclosure of interests;
  • Exposure to / interest in Financial Regulation or Compliance will be advantageous

Preferred:

  • Some knowledge of Compliance laws, rules, regulations, risks and typologies
  • Some knowledge in area of focus
  • Recent experience working in a trading or broker-dealer environment.

Company Info
Citibank


Company Info

Undisclosed

Phone:
Web Site:

col-narrow-left   

Job ID:

269574
col-narrow-right   

Job Function:

Banking / Finance: Banking

Job Location:

Hong Kong SAR

Posted:

03.14.2019
col-wide   

Job Description:

Compliance Surveillance Analyst

Location: APAC-Hong Kong SAR of PRC

Key Activities:

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, outside activities surveillance, and information barrier surveillance.

Key Activities include:

  • Assisting team members with the review and analysis of 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. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
  • Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal)
  • Handling telephone hotlines and performing data entry.
  • Responsible, as part of a team, for daily group-wide monitoring and disclosure across 15 jurisdictions in APAC (ex-Japan) to identify substantial positions in relevant securities against reportable thresholds or regulatory position limits such as foreign ownership, sensitive sectors and takeovers, etc.
  • Assist manager and senior team members in preparing response to enquiries from the regulators, external and internal stakeholders about the Bank’s disclosure position.
  • Investigate large variations of substantial shareholdings for these countries. This involves interacting with the regional Middle Office and Operations team generally located in Hong Kong or Singapore, as well as, with SPIDER Operations Team based in Manila and US.
  • Maintain regulatory requirements in SPIDER for the countries within your scope of review. This requires knowledge of the regulatory requirements that can be acquired on the job.

Qualifications

Knowledge and Skills:

  • Experience in compliance, risk management, or regulatory related function in the financial services industry;
  • Preference will be given to candidates with relevant experience in disclosure of interests;
  • Exposure to / interest in Financial Regulation or Compliance will be advantageous

Preferred:

  • Some knowledge of Compliance laws, rules, regulations, risks and typologies
  • Some knowledge in area of focus
  • Recent experience working in a trading or broker-dealer environment.