13 Jun
Compliance Assurance Officer, VP – Global Functions
Florida, Tampa bay area 00000 Tampa bay area USA

Vacancy expired!

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Assurance team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent assurance activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.Responsibilities:

Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Assurance (CA) Plan.

Participating in the planning, executing, and reporting of compliance assurance 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 CA Plan.

Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.

Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Assurance 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 CA function and with other stakeholders including Business process owners and Internal Audit function.

Ability to work collaboratively and independently as part of a team in a new function during a period of transformation.

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

Informing CA 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.

Qualifications:

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 operating effectiveness testing, 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

3-5+ years of experience in the Internal Audit, controls, risk management function at a large financial institution, or as financial regulatory examiner

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 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

Candidates familiar with the FRB Regulations are preferred along with strong testing/audit background (experience in the Internal Audit, controls, risk management function at a large financial institution, or as financial regulatory examiner).Other:The following accounting and industry certifications and licenses are helpful: Certified Public Accountant (CPA), Chartered Accountant (CA), Certified Management Accountant (CMA), Chartered Financial Analyst (CFA), Certified Internal Auditor (CIA), Certified Risk Manager (CRM)Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - USTime Type :Citi is an equal opportunity and affirmative action employer.Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity CLICK HERE at https://www.citigroup.com/citi/accessibility.html .To view the "EEO is the Law" poster CLICK HERE at https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf . To view the EEO is the Law Supplement CLICK HERE at https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCPEEOSupplementFinalJRFQA508c.pdf .To view the EEO Policy Statement CLICK HERE at http://citi.com/citi/diversity/assets/pdf/eeoaapolicy.pdf .To view the Pay Transparency Posting CLICK HERE at https://www.dol.gov/ofccp/pdf/pay-transpunformattedESQA508c.pdf .Citi is an equal opportunity and affirmative action employer.

Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Vacancy expired!


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