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Compliance Assurance Sr Analyst, AVP - NAM ICG

Company: Citi
Location: Pinellas Park
Posted on: January 1, 2020

Job Description:

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.

Responsibilities:

  • 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 Plan.
  • 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 management team.
  • 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 reporting.
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • 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 typologies
    • 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 activities.
    • 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 regulatory requirements.
    • 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 control issues.
    • Applying knowledge of key regulations to influence -testing and monitoring -scope.
    • 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 organization
    • Proficiency in MS Office applications (Excel, Word, PowerPoint)
    • Knowledge in Markets Securities Services area of focusEducation:
      • 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 - US------------------------------------------------------Time Type :------------------------------------------------------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 HERE.
        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

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