Details: Office Location / Address: Regular Education Level: NAM-USA-NY-New York Shift: Full-time Employee Status: Bachelor's Degree Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com. Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, Commodities/Futures, and Energy Sales and Trading businesses. The primary areas of focus are surveillance, regulatory inquiry response, and ad-hoc special projects. Analysts are expected to create, implement and conduct surveillance reviews that cover specific regulation or firm policy, primarily as regards issues of market integrity. Analysts are also expected to respond to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) encompassing all of the rules. The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified. Finally, analysts may also participate in ad-hoc requests, special projects and regulatory exams in conjunction with other teams. Analysts within the Market Surveillance organization are expected to carry out assignments spanning each of these functions.
No comments:
Post a Comment