Compliance Analyst

Straive; Mumbai; On-site; INR 900,000 - 1,200,000; Full time

Job summary

Straive is seeking a Compliance Risk Analyst to join the Independent Compliance Risk Management Surveillance team in Mumbai. The role involves reviewing surveillance alerts, analyzing trade data, and escalating issues in coordination with first and second lines of defense to ensure regulatory and policy adherence.

The candidate will handle hotlines, input data across systems, and exercise sound judgment to protect the firm’s reputation and assets, while collaborating with legal and compliance

Qualifications

• Bachelor’s degree in a related field or equivalent experience in finance/compliance.
• Minimum 3+ years in surveillance or compliance roles.
• Experience with SMARTS a must (2+ years).
• Good knowledge of equities, ETD, or FI/FX products.

Responsibilities

• Review surveillance alerts/reports relating to firm, employees and client trading; document review and disposition; escalate as needed.
• Gather and analyze trade data to support regulatory inquiries; communicate findings to management and collaborate with legal/compliance.
• Handle telephone hotlines and perform data entry in various systems.
• Exercise independent judgment and autonomy in assignments.
• Assess risk in business decisions, safeguarding Citigroup’s reputation and assets; escalate and report control issues transparently.

Skills

English communication

Interpersonal skills

MS Office

Analytical thinking

Independent judgment

Education

Bachelor’s degree

Tools

SMARTS

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 behaviours' that may violate

regulatory rules or internal policies and procedures. When potentially anomalous

behaviour is detected, the team is responsible for escalating the activity and working

collaboratively with partners across the first and second lines of defence 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 clear 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 behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications

• For Trade Surveillance: Previous experience with SMARTS (2+ years) is essential.
• For Trade Surveillance: Good product knowledge of Equities, Exchange Traded Derivatives (ETD) or FI/FX products is required.
• 3+ prior years in a Surveillance or Compliance role.
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Excellent written and verbal communication skills. Fluent English is
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Completion of the “AML-Transaction Monitoring & Suspicious Transaction

Education

• Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.