Compliance Testing Sr Officer II-Global Compliance Testing Prudential Testing- Director
Serves as a senior compliance risk manager 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 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:
- Overseeing the development, implementation, and execution of the compliance testing, continuous testing, and reporting programs within an assigned region in accordance with Compliance Testing (CT) Plan.
- Directing the planning, execution, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line or function, or legal entity within an assigned region in accordance with CT Plan.
- Assisting in the development of a robust CT Plan to monitor for compliance with rules, laws, and regulations for Global Functions and Prudential Regulations i.e., Regulation O, Y, K, W
- Developing a valued interactive program of support and assurance that provides regulators and stakeholders’ insight into compliance trends, themes, issues, and root causes.
- Developing a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across businesses and products, legal entities and jurisdictions, providing stakeholders with insight and practical solutions to improve the control culture and environment across Citigroup.
- Defining resource requirements and budgets for CT projects.
- Serving as a testing owner for complex reviews, analyze report findings, and recommend appropriate interventions where needed.
- Identifying and evaluating emerging risks and present findings to Product/function leadership.
- Participating in discussions with the firm’s regulators in connection with inquiries, inspections, and exams.
- Participating in the development and enhancement of the CT Methodology and Standards for auditing, testing, and reporting with compliance risk focus.
- Providing regulator briefings as necessary and insight to the State of Compliance Report on a quarterly basis to the Audit Committees of Citigroup and Citibank.
- Additional duties as assigned
- Appropriately assess risk when business decisions are made, demonstrating 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.
- 15+ years of experience
- Extensive global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the Financial Services Industry
- Possess strong project management, budgeting, and interpersonal skills, makes sound decisions, and exhibit initiative and intuitive thinking
- Executive presence and a reputation for building strong relationships with stakeholders and leading teams, both direct reports and in peer/influence models. Effectiveness in working within a large scale and complex matrix organization is essential
- Solid understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services pertaining to Global Functions and Prudential Regulations i.e., Regulation O, Y, K, W
- Proven experience in leading transformational change, in influencing geographically dispersed teams of world-class professionals and in implementation of cost effective and technology enabled innovative solutions in compliance monitoring, testing, and reporting
- Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views.
- Excellent communication skills in interacting with non-executives, executive management, regulators, and across a number of business lines and control functions
- Effective persuasion skills, the ability to work effectively at the highest levels of the organization, and networking and influencing skills. This person will be comfortable acting as an agent for positive change with agility and flexibility
- Proven track record in preparing and presenting formal written reports to Audit Committee, Compliance Committee, Board of Directors, and C-Suite Management.
- Willingness to travel domestically and internationally
- Highly motivated, strong attention to detail, team oriented, organized
- Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
- Experience in the design and implementation of Compliance programs
- Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
- Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse businesses
- Experience with and previous exposure to internal or external control functions and regulators (incl. the US)
- Ability to challenge business management and escalate issues when appropriate
- Strong track record of effectively assessing and managing competing priorities
- Experience managing diverse teams, and comfort navigating complex, highly matrixed organizations
- Comfortable acting as an agent for positive change with agility and flexibility
- Subject matter expertise in area of focus
- Bachelor's/University degree, Master's degree preferred
- 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 area of focus
- Advanced degree (e.g., JD, MBA) a plus
Jersey City Salary Range: $170,000.00 - $300,000.00 USD Annual
Job Family Group:Compliance and Control
Time Type:Full time
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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 review Accessibility at Citi.
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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.
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90개 국가의 공동체에서 자원봉사를 행하는 사회적 책임감을 가진 직원들
95개 이상의 시장에 실제로 존재하는 의미 있는 채용 기회
우리는 모든 개인을 포용하고 다양한 관점을 장려하여, 귀하가 영향력을 생성하고 경력을 성장시킬 수 있는 문화를 조성합니다. Citi는 높은 수준의 전문성 기준, 굳건한 성실성과 관대함, 지적 호기심 및 엄격함을 보여주는 동료를 소중하게 생각합니다. 우리는 귀하가 씨티에서 경력을 쌓는다는 일이 가진 중요성을 인식하며, 귀하의 헌신에 대하여 우리도 마찬가지로 노력할 것을 약속 드립니다
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