Compliance Analyst – Markets Trade Surveillance
Citigroup Inc
Heredia, 3, CRI
hace 31 días


The Markets Trade Surveillance analyst will be responsible for reviewing Markets Products alerts generated as part of the Trade Surveillance processes established for the LATAM Markets business servicing mainly Foreign Exchange Local Markets intended to identify potential market abuse and market conduct issues.

The analyst is expected to conduct surveillance reviews that cover scenarios impacting local regulations and firm policies, primarily relating to issues of market conduct.

The analyst will review transactions covering a wide range of Markets products such as derivatives, FX or Futures Markets products with the purpose of identifying trade sequences that could represent possible market misconduct and perform assessment reviews as second line of defense.

The analyst will also be responsible for documenting and escalating potential violations to the designated business representatives.

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

  • Intensive review and analysis of transactional activity for Markets products such as Derivatives, FX, Futures, Credit and Rates.
  • Analyze Markets trade surveillance alerts and context to identify suspicious behavior and / or possible market conduct issues.
  • Document potential violations and timely escalate these to the corresponding parties.
  • Keep abreast of Citi Compliance related Corporate Policies and Standards.
  • Produce metrics associated to the Markets Trade surveillance processes.
  • Work along with in-country Product Compliance, regional and global Compliance in the analysis and review of surveillance scenarios to enable adherence to local regulatory requirements impacting market conduct.
  • Interact with the business, Product Compliance in-business risk and / or control related functions to obtain information on cases / alerts requiring additional information or to be escalated as necessary.
  • Participate in user acceptance tests associated to the Markets Trade surveillance platforms.
  • Qualifications

  • Bachelor’s degree required, with at least 3+ years of work experience in Compliance, Capital Markets, securities banking or Markets business related role.
  • Knowledge of Markets products such as Foreign Exchange (FX), Derivatives, Cash Equities, Futures and Fixed Income is a must.
  • Strong research and analytical skills are a must.
  • Ability to process large amounts of information quickly.
  • Knowledge of Citi Corporate Policies and Standards is a must.
  • 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.
  • Knowledge of Citi Markets related platforms such as eDealer, Citi FX- Pulse.
  • Fluent (read / write) in English and Spanish is a must.
  • FINRA registered is encouraged but not required.
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