Citi Employee Trading Surveillance Analyst 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: 17043807

Description

The Employee Trading Surveillance analyst will support LATAM ICG Compliance management in overseeing the LATAM ICG Compliance countries to comply with the requirements of the Employee Personal Trading, Personal Trading, Information Barrier, Over the Wall and Insider Trading policies.

The analyst will address and respond to employee personal trading pre-clearance requests as received electronically. The analyst will support Country Compliance Officers in requesting and complying with the ETP employee due diligence requirements such as the annual certification process, account approvals, monitoring activities among others. The analyst will also support in performing surveillance reviews covering specific regulations or Firm policy. The surveillance process includes escalating matters appropriately to management, legal and the respective product coverage areas in addition to providing input on the resolution.

RESPONSIBILITIES

  • Address and timely respond to employee personal trading pre-clearance requests as received via email or electronic systems as well as performing data entry of trading restrictions.

  • Support Country Compliance Officers in requesting and complying with the ETP employee due diligence requirements such as the annual certification process, account approvals, monitoring activities among others.

  • Support management in overseeing LATAM ICG Compliance countries compliance with the requirements of the Employee Personal Trading, Personal Trading, Information Barrier, Over the Wall and Insider Trading policies.

  • Assist the Employee Trading Surveillance Supervisor in process refinements, implementing new systems and assisting with system testing.

  • Prepare and provide monthly metrics impacting the pre-clearance process.

  • Provide awareness to LATAM employees on the ETP policy requirements.

Qualifications

Qualifications:

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

  • The candidate should have a general understanding of Securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.

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

  • 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