Citi Group Compliance Testing Officer Vice President 

United Kingdom, England, London 

190312190

Key Activities include:

• Developing, implementing, and executing compliance testing and reporting programs within an assigned region in accordance with the Compliance Independent Testing Plan.
• Participating in the planning, executing, and reporting of compliance testing 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 Compliance Independent Assessment (CIA) Plan.
• Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
• Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
• Developing effective relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function.
• Informing CIA management of significant compliance matters that require their attention or action.
• Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs.
• Appropriately assess risk when business decisions are made, demonstrating particular 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.

Qualifications:

• Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
• 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
• Understanding of rules, laws, and regulations, specific regulatory requirements, financial services and the following asset classes: commodities and currencies
• Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
• Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)

Education:

• 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 a plus

Time Type:

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