Citi Compliance Analyst – Communications Surveillance in Costa Rica

  • Primary Location: Costa Rica

  • Education: Bachelor's Degree

  • Job Function: Compliance and Control

  • Schedule: Full-time

  • Shift: Day Job

  • Employee Status: Regular

  • Travel Time: No

  • Job ID: 17043794


The Compliance Surveillance unit performs email and voice reviews for the LATAM supervised population to support the firm in identifying and mitigating market abuse. The group proactively assesses and reports compliance and reputational risk across business lines, products and entities.

The Communications Surveillance Analyst will be responsible for performing analysis of voice and/or electronic communications such as emails, instant messaging and chat room activity for the ICG Markets population for various Latam countries. The objective is to ensure strong supervision of employee market conduct and communications in order to comply with a commitment made with the regulators as part of the OCC and CFTC consent orders.

The candidate will also be responsible for gathering and reporting key metrics as required by country and Regional Compliance.

Key Responsibilities:

  • Intensive review and analysis of communications by listening to voice recordings and/ or reading of electronic written communications.

  • Document potential violations and timely escalate these to the corresponding parties.

  • Produce and report metrics associated to the daily communications surveillance process.

  • Maintain records of the alerts and/or communications reviewed to comply with the applicable Records Management Policy requirements

  • Participate in user acceptance tests associated to the electronic communications surveillance platforms.

  • Assist management in the consolidation of data, reconciliation activities required for audit purposes.



  • Bachelor’s degree required, with at least 2 years of work experience in Compliance, Finance, Securities Banking or Markets business related role.

  • Experience in Trade validation for Markets Products such as Foreign Exchange, Fixed Income, Securities and Derivatives.

  • The candidate should have a general understanding of banking industry, financial markets and industry related regulations. Knowledge of Citi Corporate Policies and Standards is a plus.

  • Strong verbal and written communications in English and Spanish is a must. Portuguese is a plus.

  • Strong research and analytical skills are a must.

  • Ability to process large amounts of information quickly.

  • The candidate should be adaptable to change and willing to work in a fast paced environment.

  • Proficient in MS Office (Word, Excel, and PowerPoint) and experienced in the use of Web-Based systems.

Education Level: Bachelor's Degree

Primary Location: LATAM – Costa Rica

Job Category: Compliance and Control

Schedule: Full-time

Shift: Day Job

Employee Status: Regular

Travel: No

Grade/Level: C11

Relocation: No