Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) team performing risk-based monitoring/testing of Citi’s compliance risks to assess the design and effectiveness of key controls, reporting, and escalating any violations of laws or breaches of policy identified while consistently validating the adequacy of measures used to address reported issues.
Responsibilities
- Develops, implements, and executes compliance testing/monitoring, continuous monitoring, and reporting programs for a component of a product line, function, or legal entity in accordance with CIA Plan.
- Participates in the planning, executing, and reporting of compliance monitoring/testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with CIA Plan.
- Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined monitoring/testing plan and reports any findings to the CIA Management as necessary and documents them accordingly.
- Utilizes innovative compliance monitoring/testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks.
- Develops effective and collaborative relationships with stakeholders within and outside the CIA function and outside stakeholders such as business and technology process owners, promoting education and best practices across ICRM and the business.
- Promoting knowledge sharing and promulgation of best practices across ICRM and the business.
- Escalating to CIA management significant compliance matters that require their attention or action.
Skills & Qualifications
- Business Acumen
- Credible Challenge
- Data Analysis
- Laws and Regulations
- Management Reporting
- Policy and Procedure
- Referral and Escalation
- Risk Controls and Monitors,Risk Identification and Assessment,Risk Remediation
Experience
- 5-8 years of experience
- Experience with auditing principles including audit planning,risk assessments,development of risksand controls matrices,processesand controls design assessments,controls operating effectiveness testing,transactional testing,and reporting activities relatedto Markets,Swap Dealer,Volckerand Counterparty Trading & Risk.
Education
- Bachelor’s degree; experience in compliance,internal or externalauditing,legal or othercontrol-relatedfunction inthe financialservicesfirm(regulatoryorganization,or legal/consultingfirm),or acombinationthereof;experienceinareaoffocus;Advanceddegreeorrelevantscertificationa plus.