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Key Activities include:
Developing, implementing, and executing compliance testing/monitoring, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Independent Assessment (CIA) Plan.
Participating in the planning, executing, and reporting of compliance testing/monitoring reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned area in accordance with CIA Plan.
Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
Assisting with the identification of Significant Compliance Risks via Compliance Risk Assessments, and other internal and external inputs in order to build and refresh the CIA plans for Delegated Controls.
Utilizing innovative compliance testing/monitoring 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.
Identifying industry best practices and share insight with the CIA teams on a regular basis.
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.
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
Experience in planning, executing, and reporting on compliance testing/monitoring 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, monitoring, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
Understanding of rules, laws, and regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
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
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
Willingness to travel
Knowledge of Compliance laws, rules, regulations, risks and typologies
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Ability to both work collaboratively and independently; ability to navigate a complex organization
Advanced analytical skills
Ability to both work independently and collaborate with team members
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
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
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
Compliance and ControlFull timeGetzville New York United States$92,000.00 - $138,000.00
Anticipated Posting Close Date:
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