Citi Group Compliance Testing Officer - VP Wealth 

United States, Florida, Tampa 

671569863

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) 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 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.

• Developing effective relationships within CT function and with other stakeholders including Business process owners and Internal Audit function.

• Identifying industry best practices and share insight with the CT teams on a regular basis.

• Informing CT 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.

• 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:

• 6-10 years of experience in Financial Services Industry, particularly wealth advisory and retail investments.

• 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 effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities.

• Knowledge of Compliance laws, rules, regulations, risks and typologies and private banking related requirements.

• Understanding of rules, laws, and regulations, and specific regulatory requirements within the U.S. securities framework to include SEC, FINRA, MSRB, state insurance.

• Demonstrated knowledge in Wealth businesses including retail brokerage and private banking. Investment Advisory and Insurance background a plus as are securities licenses (FINRA Series 7, 24, 65, insurance etc.).

• Excellent oral communication and writing skills in interacting with non-executives and executive management across a number of business lines and control functions

• Strong interpersonal skills for building strong relationships with stakeholders with the ability to work collaboratively at all levels of the organization.

• Ability to work collaboratively and independently; ability to navigate a complex organization.

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

• 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)

• Willingness to travel.

Education:

• 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 a plus.

• Financial services or banking industry credentials/certifications (CFE, ACAMS. CRCM, etc.) a plus

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

Anticipated Posting Close Date:

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