Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance Design and Implementation 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.
- Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
- Designing and developing tools and methods for generating and analyzing electronic communication surveillance alerts.
- Employing advanced text analysis and natural language processing techniques to improve electronic communication surveillance tools and applications.
- Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
- Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC). The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.
- Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
- Other responsibilities include: overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparing, editing and maintaining ICRM program related materials; interacting and working with other areas within Citi, as necessary; and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
- Additional duties as assigned
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
- Excellent research and analytical skills
- Extensive previous experience in data science, machine learning, quantitative research, quantitative analysis, advanced statistical methods, surveillance design, and/or data modeling required
- Strong skills and demonstrable success in applying text analytic and natural language processing techniques such as expression search, fuzzy matching, entity extraction, and semantic analysis required
- Proficiency in programming languages and packages for data science (e.g. Python, Scala, TensorFlow) required
- Experience designing and prototyping surveillance patterns using time series analysis, features engineering, random forest, natural language processing, and/or advanced statistical methods highly desirable;
- Experience in designing and prototyping market conduct and electronic communication surveillance highly desirable
- Big data and cloud computing experience highly desirable
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Adaptable to change and willing to work in a fast paced environment with a positive attitude
- Bachelor’s degree in business, finance, and/or engineering experience in data science, quantitative research/analysis, advanced statistical methods, and/or data modeling; experience and/or designing communications surveillance and/or trade surveillance; Advanced degree a plus.
Job Family Group:
Compliance and Control
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