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Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) Quality Assurance responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to assess the development and application of CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.
Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM:
◦ Support implementation of the strategy for the ICRM Quality Assurance (QA) Program which is aligned to the Compliance Risk Management (CRM) Framework
◦ Participate in QA reviews to assess the effectiveness of Institutional Client Group (ICG, corporate and investment banking) Product Compliance and related programs
Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues:
◦ Preparation, editing, and maintenance of QA program related materials.
◦ Documenting QA test results and drafting QA reports.
◦ Analysising QA test results to look for themes, identify areas of improvement or non-compliance with Citi’s compliance risk policies, methodologies and relevant procedures
Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks are appropriately identified and addressed.
Investigating and responding to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries.
◦ Participate reviews to assess ICG Product Compliances adherence to various regulatory, legal, requirements and to ensure adherence to Citi’s compliance risk policies, methodologies and relevant procedures.
◦ Monitoring and testing of actions taken to mitigate instances of non-adherence
Overseeing the monitoring of adherence to Citi’s Compliance Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials.
Interacting and working with other areas within Citi, as necessary.
◦ Primarily partnering, interacting and working with other areas within ICRM to deliver the ICRM Quality Assurance Plan.
Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
Additional duties as assigned.
Knowledge & Skills:
Knowledge of Compliance laws, rules, regulations, risks and typologies
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 written and verbal communication and interpersonal skills
Ability to both work collaboratively and independently; ability to navigate a complex organization
Advanced analytical skills
Ability to both work independently and collaborate with team members
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Demonstrated knowledge in area of focus
Knowledge of investment banking products is preferred
Education & Relevant Experience:
Experience in compliance, audit or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof is required
Investment banking experience preferred
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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