Markets Compliance Officer - Surveillance

Serves as a compliance risk analyst for Bank Handlowy's Markets Compliance 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. Surveillance team 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.

Responsibilities :

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 ( Compliance 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 duties as assigned.

Has the ability to operate with a limited level of direct supervision.

Can exercise independence of judgement and autonomy.

Acts as SME to senior stakeholders and / or other team members.

Qualifications :

Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof

Knowledge of Compliance laws, rules, regulations, risks and typologies

Proficiency in both Polish and English

Must be a self-starter, flexible, innovative and adaptive

Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

Strong project management and organizational skills and capability to handle multiple projects at one time

Proficient in MS Office applications (Excel, Word, PowerPoint)

Some knowledge in area of focus

Citi Handlowy offers :

Job contract and social benefits (private medical care, fitness card, life insurance, pension programme, co-financing of cultural and entertainment events and more. Full list can be found here : under and sections)

Access to e-learning platform (Degreed) as well as English learning platform

Possibility to gain globally appreciated work experience

Flexible and partly-remote working conditions

Your personal data will be administered by Bank Handlowy w Warszawie with its registered office in Warsaw, ul. Senatorska 16. The Bank carries out the processing of your personal data first of all to conduct the recruitment process in which you participate, in the scope specified in Article 22(1) of the Labour Code (Article 6(1)(c) of the GDPR). You are entitled to : access your personal data, rectify them, erase them, restrict their processing, transfer your data and object to their processing. More detailed information is available at the website :

Please read the information about internal reports procedure – Whistleblowers Protection Act :

Job Family Group :

Compliance

Job Family : Surveillance

Time Type : Full time

Most Relevant Skills

Business Acumen, Credible Challenge, Data Analysis, Laws and Regulations, Management Reporting, Policy and Procedure, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.

Other Relevant Skills

For complementary skills, please see above and / or contact the recruiter.