Compliance Assurance Sr Analyst, AVP - NAM ICG
Location: Pinellas Park
Posted on: January 1, 2020
Serves as a senior compliance risk analyst for Independent
Compliance Risk Management (ICRM)'s Assurance 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
assurance activities (testing and on-going monitoring) to assess
the design and effectiveness of key controls -to address compliance
risk; reporting and escalating control issues and any potential
-violations of laws or breaches of policy; and validating adequacy
of remediation taken to address reported issues.
- Developing, implementing, and executing compliance testing,
continuous assurance, and reporting programs within an assigned
region in accordance with the Compliance Assurance (CA) Plan.
- Participating in the planning, executing, and reporting of
compliance assurance 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 CA
- Executing compliance controls testing, transactional testing,
or compliance controls monitoring activities based on the
pre-defined testing plan.
- Documenting findings and report to the Compliance Assurance
- Assisting with development of Compliance Assurance Risk
Assessments, Monitoring Monthly, and Quarterly Summaries and
development and enhancement of the Compliance Assurance
Methodologies and Standards for -testing, monitoring, and
- Utilizing innovative compliance testing solutions including
Data Analytics to increase value and reduce costs of
- Developing effective relationships within CA function and with
other stakeholders including business and technology process
owners, and Internal Audit function.
- Promoting knowledge sharing and promulgation of best practices
across ICRM and the business.
- Monitoring the risk environment and assessing the emerging
risks through the Business Monitoring process.
- Informing CA management of significant compliance matters that
require their attention or action.
- Additional duties as assigned.Qualifications:
- Knowledge of Compliance laws, rules, regulations, risks and
- 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 testing, and reporting
- Experience in planning, executing, and reporting on compliance
testing reviews and regulatory issue validation activities
- Extensive global compliance and audit related experience, and
strong knowledge of business processes.
- Exhibit project management, interpersonal, sound decision
making, and intuitive thinking skills.
- Understanding of rules, laws, and regulations, and specific
- Strong interpersonal skills for building strong relationships
with stakeholders and engaging teams.
- Effectiveness in working within a large scale and complex
matrix organization is essential.
- Excellent oral communication and writing skills in interacting
with non-executives and executive management and across a number of
business lines and control functions.
- Recommending appropriate and pragmatic solutions to risk and
- Applying knowledge of key regulations to influence -testing and
- Develops effective line management relationships to ensure
strong understanding of the business.
- Must be a self-starter, flexible, innovative and adaptive
- Working collaboratively with regional and global partners in
other functional units; with an ability to navigate a complex
- Proficiency in MS Office applications (Excel, Word,
- Knowledge in Markets Securities Services area of
- 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;
experience in Markets and Securities Services area of focus;
Advanced degree a plusPreferred:3-5+ years of experience in the
Internal Audit, controls, risk management function at a large
financial institution, or as financial regulatory examinerOther:
The following accounting and industry certifications and licenses
are helpful: Certified Public Accountant (CPA), Chartered
Accountant (CA), Certified Management Account (CMA), Chartered
Financial Analyst (CFA), Certified Internal Auditor (CIA),
Chartered Alternative Investment Analyst (CAIA), Certified Risk
Manager (CRM), Certified Information Systems Auditor (CISA), FINRA
Series 7, 63,
65-------------------------------------------------Grade :All Job
Level - All Job FunctionsAll Job Level - All Job Functions -
:------------------------------------------------------Citi is an
equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual
Orientation/Gender Identity.Citigroup Inc. and its subsidiaries
("Citi") invite all qualified interested applicants to apply for
career opportunities. If you are a person with a disability and
need a reasonable accommodation to use our search tools and/or
apply for a career opportunity CLICK HERE.To view the "EEO is the
Law" poster CLICK HERE. To view the EEO is the Law Supplement CLICK
To view the EEO Policy Statement CLICK HERE.
To view the Pay Transparency Posting CLICK HERE.
Keywords: Citi, Pinellas Park , Compliance Assurance Sr Analyst, AVP - NAM ICG, Professions , Pinellas Park, Florida
Didn't find what you're looking for? Search again!