Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.
Key Activities include:
- Assisting in the development, implementation, and execution of compliance testing, continuous testing, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan.
- Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CT Plan.
- Independently contributing to the development of compliance testing improvements.
- Working directly with business unit managers to assess and identify risks and controls within their processes.
- Making recommendations to ensure that appropriate controls are in effect to respond to regulatory, procedural or policy standards.
- Performing data analysis and creating reports to understand and communicate issues to management.
- Additional duties as assigned
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
- 8+ years relevant experience
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Strong 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)
- Basic to intermediate level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables.
- Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
Education:
- Bachelor's/University degree or equivalent experience
- 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
- Advanced degree (e.g. JD, MBA) a plus
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Job Family Group:
Compliance
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Job Family:
Compliance Independent Assessment
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Time Type:
Full time
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