Job Information
Citigroup Compliance Testing Sr Analyst - Branch Examinations- C12/ AVP in Tampa, Florida
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. The Compliance Testing Sr. Analyst performs risk-based testing of Citi’s compliance risks in order to assess the design and effectiveness of key controls, reporting, and escalates 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, continuous assurance, and reporting programs within assigned region for a component of a product line, function, or legal entity 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 a component of a product line, function, or legal entity within an assigned region in accordance with CT - Branch Examinations Plan.
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan 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.
Promoting knowledge sharing and promulgation of best practices across ICRM and the business.
Escalating to CT - Branch Examinations management significant compliance matters that require their attention or action.
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:
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 a number of multiple business lines and control functions.
Recommends appropriate and pragmatic appropriate solutions to risk and control issues.
Applies knowledge of key regulations to influence audit testing review scope.
Develops effective line management relationships to ensure 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.
Other Requirements (licenses, certifications, specialized training, physical or mental abilities required): The following licenses are helpful: FINRA Series 7, 63, 65.
Job Family Group:
Compliance and Control
Job Family:
Testing
Time Type:
Full time
Primary Location:
Tampa Florida United States
Primary Location Full Time Salary Range:
$79,120.00 - $118,680.00
In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
Anticipated Posting Close Date:
Sep 05, 2024
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.