The Compliance Business Control Senior Analyst role requires a high degree of focus on regulatory reporting by US regulators combined with the growing complexity of regulatory requirements. In support of this statement, in 2019 Citi has already received FINRA inquiries and has committed to the CFTC in resubmitting all historical Large Trader reports dating back to 2013. This role will require a subject matter expert to assist in all regulatory inquiries and support the established control framework for a number of Regulator daily submissions. In addition also working closely with the Middle Office, various settlement areas and business desks (i.e. Commodity desk) to address regulatory exceptions, work with Technology to improve system deficiencies and continue to reduce the firm’s Regulatory reporting risk. This role will work closely with the business, legal and compliance on all exceptions identified on a daily basis
Also included but not limited to Large Option Position Reporting, Blue Sheet Reporting, and CFTC Part 20 Swaps Large Trader Reporting where recent regulatory inquiries and internal analyses have determined a need to institute a number of changes to processes and technologies. Additional responsibilities include the following:
- Assist in the review of exception reports for the different Regulatory reports manages by the team
- Assist in the preparation and analysis of regulatory reports pursuant to SEC, FINRA, and CFTC rules & regulations.
- Perform gap analyses of existing reports and propose appropriate solutions
- Develop MIS reports for regulatory reporting data that will be distributed to senior management
- Development systematic processes aimed at reducing the firm’s exposure to regulatory risk
- Perform analyses of enhanced reporting platforms as a member of User Acceptance Testing (UAT) groups
Additional qualifications and skill set:
- Proficiency in Microsoft Excel is required for analytical purposes (e.g., Pivot tables, vlookups, sumifs, etc.).
- Basic knowledge of Microsoft PowerPoint is required to support the group’s presentations to senior management.
- Bachelor’s degree
- Strong analytical skills
- Strong written and oral communication skills
- Strong work ethic
- High energy level
- Experience dealing with annual audits and inquiries by the firm’s regulators (e.g., SEC, FINRA) is a plus.
- Experience in trade/transaction reporting (e.g. Blue Sheets, Large Option Position Reporting, Large Swap Trader Reporting) is a plus
- Experience in Commodity Swaps, Option, and Equity products is a plus
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Grade :All Job Level – All Job FunctionsAll Job Level – All Job Functions – US
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Time Type :Full time
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