Compliance Risk Analyst
4 weeks ago
Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)\'s Compliance Testing - Branch Examinations team responsible for assessing compliance risks and controls implemented by Citi\'s first and second line of defense.
Key Responsibilities:
Develops, implements, and executes compliance testing, continuous assurance, and reporting programs within assigned regions for components of product lines, functions, or legal entities in accordance with Compliance Testing (CT) - Branch Examinations Plan.
Participates in the planning, executing, and reporting of compliance assurance testing reviews and compliance and regulatory issue validation activities for components of product lines, functions, or legal entities within assigned regions in accordance with CT - Branch Examinations Plan.
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on pre-defined testing plans and reports any findings to the Compliance Testing - Branch Examinations Management team as necessary and documents them accordingly.
Utilizes innovative compliance 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 CT - Branch Examinations function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business.
Promotes knowledge sharing and promulgation of best practices across ICRM and the business.
Escalates significant compliance matters that require attention or action to CT - Branch Examinations management.
Additional duties as assigned.
Appropriately assesses 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.
Requirements:
5-8 years of experience
Knowledge of compliance laws, rules, regulations, risks, and typologies
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 testing, and reporting activities
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit-related experience and strong knowledge of business processes
Exhibit project management, interpersonal, sound decision-making, and intuitive thinking skills
Understanding of relevant rules, laws, 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
Excellent oral communication and writing skills in interacting with non-executives and executive management and across multiple business lines and control functions
Recommends appropriate and pragmatic solutions to risk and control issues
Applies knowledge of key regulations to influence audit testing review scope
Develops effective line management relationships to ensure a strong understanding of the business
Must be a self-starter, flexible, innovative, and adaptive
Works collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
Proficient in MS Office applications (Excel, Word, PowerPoint)
Education:
Bachelor\'s degree; experience in compliance, internal or external auditing, 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 or relevant certification a plus
Preferred:
Experience in the Internal Audit, Compliance, compliance and/or controls, risk management function at a large financial institution, or as financial regulatory examiner
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