Serves as apliance risk officer for Independentpliance Risk Management (ICRM)'s Testing team responsible for assessingpliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi'spliance risks; performing independent testing activities to assess the design and effectiveness of key controls designed to addresspliance 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:
1. Developing, implementing, and executingpliance testing and reporting programs within an assigned region in accordance with thepliance Independent Testing Plan.
2. Participating in the planning, executing, and reporting ofpliance testing reviews andpliance and regulatory issue validation activities for aponent of a product line, function, or legal entity within an assigned region in accordance withpliance Independent Assessment (CIA) Plan.
3. Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
4. Utilizing innovativepliance testing solutions including Data Analytics to increase value and reduce costs ofpliance-related activities.
5. Developing effective relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function.
6. Identifying industry best practices and share insight with the CIA teams on a regular basis.
7. Informing CIA management of significantpliance matters that require their attention or action.
8. Identifyingpliance training resources and tools available centrally to support country/businesspliance programs training and research needs.
9. Additional duties as assigned.
10. Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by drivingpliance 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:
11. Experience in planning, executing, and reporting onpliance testing reviews and regulatory issue validation activities
12. Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
13. Understanding of rules, laws, and regulations, specific regulatory requirements, financial services and the following asset classes:modities and currencies
14. Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
15. Effectiveness in working within a large scale andplex matrix organization is essential
16. Effective negotiation skills, a proactive and "no surprises" approach inmunicating issues, and strength in sustaining independent views
17. Excellent oralmunication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
18. Willingness to travel
19. Knowledge ofpliance laws, rules, regulations, risks and typologies
20. Must be a self-starter, flexible, innovative and adaptive
21. Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
22. Ability to both work collaboratively and independently; ability to navigate aplex organization
23. Advanced analytical skills
24. Ability to both work independently and collaborate with team members
25. Excellent project management and organizational skills and capability to handle multiple projects at one time
26. Proficient in MS Office applications (Excel, Word, PowerPoint)
27. Demonstrated knowledge in area of focus
Education:
28. Bachelor's/University degree, Master's degree preferred
29. Bachelor's degree; experience inpliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or abination thereof; experience in area of focus; Advanced degree a plus
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Job Family Group: Job Family:
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Time Type:
Full time------------------------------------------------------
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Job ID 24758649