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Compliance Testing Senior Officer (SVP) - Japan - Compliance Testing

Job Req ID 22493859 Primary Location Chiyoda, Japan Job Category Compliance and Control
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Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing independent testing activities ; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include:

  • Developing, implementing, and executing compliance testing, continuous testing, and reporting programs within Japan in accordance with the Compliance Testing (CT) Plan.
  • Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within Japan in accordance with CT Plan.
  • Serving as a review manager / lead reviewer for complex reviews, analysing report findings, and communicating findings to corresponding control/process owners.
  • Ensuring the timely delivery of high quality, value added testing and audit reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi’s respective regulators, globally.
  • Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • Developing effective relationships within CT function and with other stakeholders including Business process owners and Internal Audit function.
  • Identifying industry best practices and share insight with the CT teams on a regular basis.
  • Informing CT management of 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:

  • 10+ years of experience
  • Expertise of Compliance laws, rules, regulations, risks and typologies
  • 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, substantive (outcome) testing, surveillance systems, and reporting activities
  • Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers
  • Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services
  • 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
  • Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
  • Excellent English and Japanese oral communication and writing skills for interacting with non-executives and executive management and across a number of business lines and control functions, and for creating submissions to regulatory authorities in Japan and internationally
  • Willingness to travel
  • Must be a self-starter, flexible, innovative and adaptive
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc
  • Awareness of regulatory requirements including local and US laws, international and industry standards
  • Advanced knowledge in area of focus

Education:

  • Bachelor's/University degree, Master's degree preferred
  • 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;

The successful candidate will report to the Japan Head of Compliance Testing

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Job Family Group:

Compliance and Control

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Job Family:

Testing

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Time Type:

Full time

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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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