Citi Group Compliance Testing Officer - Branch Examinations C13 Tampa 

United States, Florida, Tampa 

549576647

Key Activities include:

Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) - Branch Examinations 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 CT - Branch Examinations Plan.

Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners.

Assisting with development of Compliance Testing Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Testing Methodologies and Standards for auditing, testing, monitoring, and reporting.

Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.

Informing CT - Branch Examination management of significant compliance matters that require their attention or action.

Qualifications:

6-10 years of experience with 2+ years within Branch Examinations preferred.

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, and specific regulatory requirements

Effectiveness in working within a large scale and complex matrix organization is essential

Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views

Knowledge of Compliance laws, rules, regulations, risks and typologies

Must be a self-starter, flexible, innovative and adaptive

Advanced analytical skills

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

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 a plus

Experience in the Internal Audit, Compliance, compliance and/or controls, risk management function at a large financial institution, or as financial regulatory examiner.

Other Requirements(licenses, certifications, specialized training, physical or mental abilities required): The following licenses are helpful: FINRA Series 7, 63, 65.

Anticipated Posting Close Date:

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