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ROHQ ICRM - Compliance Product Analyst 1 - HK & AU Markets (Officer / C09)

Job ID 20232800 Primary Location City of Taguig, Philippines; Job Category Compliance and Control
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Serves as a compliance risk analyst – Institutional Client Group (ICG) Monitoring for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet ICG Business and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported  ICG business and guidance on function/business/product rules/laws.

Key Activities include:

  • Performing monitoring reviews (second line of defense) to detect possible breaches to regulatory requirements or Citi Policies and to escalate accurately and timely to Country ICRM.

  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.

  • Assisting with regulatory inquiries and/or examinations.

  • Researching rules/rule changes and implementing policies, procedures or other controls necessary to comply with the rules.

  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.

  • Preparing, editing and maintaining Compliance program related materials.

  • Coordinating, track and time manage policy and training initiatives.

  • Interacting and working with other areas within ICRM, as necessary.

  • Additional duties as assigned

Qualifications:

Required

  • Excellent written and verbal communication skills

  • 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

  • Strong project management and organizational skills and capability to handle multiple projects at one time

  • Proficient in MS Office applications (Excel, Word, PowerPoint)

Preferred:

Some knowledge of Compliance laws, rules, regulations, risks and typologies

        Some knowledge in area of focus

Education:

Required: Bachelor’s degree;  experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Preferred: Advanced degree (e.g. JD, MBA) a plus

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Job Family Group:

Compliance and Control

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Job Family:

Product Compliance Risk Management

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Time Type:

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