Sales Surveillance Senior Analyst_投資交易監控處

Job Description 

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. 

Responsibilities: 

1. 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. 

2. 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. 

3. Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal). 

Other responsibilities include handling telephone hotlines and performing data entry. 

4. Additional duties as assigned. 

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 and reporting control issues with transparency. 

Citi has entered into an agreement with DBS to acquire its consumer bank in Taiwan which includes credit cards, loans, retail banking, and wealth management. The sale is expected to complete in July 2023 . As this is a role to work in Citi’s consumer bank, the successful candidate will initially be employed by Citi, but on sale completion, their employment will transfer to DBS that will employ Citi’s consumer bank employees, prior to their transfer to DBS.