Citibank Berhad KL Compl Surveillance Intermediate Analyst-19008563
ICG ICRM Surveillance Manager - Malaysia
Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Communication & Trade Surveillance 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.
Key Activities include:
- 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
- Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, Legal)
- Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances
- Additional activities including handling telephone hotlines and performing data entry in various systems
Additional duties as assigned:
- These include translating emails, chats, phone calls, and other kind of written or oral communication in local language to English to enable CSC team to perform Communication surveillance
- As part of in Country ICRM team member, the analyst is also expected to raise and get outsourcing and Cross Border Data Transfer approvals to enable CSC team to perform surveillance to the country
- The analyst is also responsible for performing periodical monitoring, due diligence, and regulatory attestation on outsourced surveillance activities provided by CSC teams
- Compliance, legal, audit or other control related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof