Citi Group Internal Audit Regulatory & Exam Management Sr Analyst C12 

Costa Rica 

643724845

Responsibilities:

• Working with senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.
• Liaising with the supervisory agency teams, including responding to ad hoc requests / inquiries and hosting meetings with senior managers held in connection with ongoing supervision efforts.
• Partnering with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to identify, gather and produce responsive documents and information.
• Identifying and escalating issues raised in the course of regulatory exams and supervisory activity.
• Promoting awareness of trends identified during exam management activity and drive common messaging across our organization and geographies.
• Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm’s current regulatory tracking processes, standards and systems.
• Preparing internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
• Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations
• Additional duties as assigned.
• 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:

• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledgeable in area of focus
• Advanced English is a mandatory requirements

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

Responsibilities:

• Meets regularly with audit teams for their aligned portfolio to track and produce weekly reporting on the status of IA’s validation of regulatory issues, regulatory deliverables, and meetings with regulators
• Attends regulatory meetings with IA Regulatory and Exam Management Group Manager, documenting key messages from the meeting, and tracking any IA deliverables resulting from the engagement
• Coordinates with audit teams to make sure all deliverables are prepared and submitted on time for regulatory exams or interactions with IA, and ensures that all requested meetings are scheduled
• Monitors the schedule of exams of the aligned business and tracks any IA deliverables to ensure they are provided on time; in cases where IA deliverables are not specifically requested, review prior and similar exams ahead of time to anticipate potential IA requests
• Develops a strong understanding of regulatory feedback and messages for their portfolio by thoroughly reviewing regulatory correspondence, analyzing and thinking critically about key messages from regulatory meetings, and gathering additional information and insights from counterparts in IA and Citi
• Uses knowledge of Citi’s first and second line functions, as well as internal audit, to proactively identify regulatory themes and concerns
• Maintains a strong understanding of the US regulatory environment by reviewing regulator guidelines and publications (e.g., annual OCC/FRB Supervisory Priorities and Objectives)
• Identifies opportunities to update and enhance guidance and procedures owned by the IA Regulatory Management Team, ensures these documents are kept up to date, and communicates changes to IA stakeholders
• Assists the Regulatory and Exam Management Group Manager in implementing and executing key projects developed to drive continuous improvement within the IA Regulatory Management team
• Assembles, develops and structures presentation decks

Qualifications

• 5-8 years relevant experience in financial services, internal audit or regulatoryengagement/management
• Knowledge of Citi’s audit methodology (interpretation and execution) and experience participating in risk-based audits and/or issue validations preferred
• Proven ability to execute on a portfolio of high-quality deliverables according to strict timelines
• Intermediate to advanced analytical skills and strong critical thinking Intermediate to advanced skills with Blueworks, Excel, Work, PowerPoint, Tableau and/or other data analytics tolls.

Time Type:

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