Compliance Risk Analyst

5 days ago

Tampa, Florida, United States Citigroup Inc Full time

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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