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Job Overview

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 risk assessments of Citi's compliance risks; performing independent testing 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.

Key Activities include:

• Developing, implementing, and executing compliance testing, continuous testing, and reporting programs within an assigned region 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 an assigned region in accordance with CT Plan.
• Serving as a 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.
• Assisting with development of Compliance Testing Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Testing 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 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, 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 and [insert product, function, legal entity or regional nature of role as required]
• 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 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
• 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; Advanced degree a plus

C14 - Compliance Testing Senior Officer

Objetivo del puesto:

Definir y liderar el programa anual de evaluaciones de monitoreo/testeo de procesos y controles.

Formalizar e implementar el proceso y la metodología de testeo de los controles ejecutados por la primera y segunda línea de defensa para monitorear que los procesos implementados para cumplir con las disposiciones de prevención de lavado de dinero y las políticas corporativas funcionen correctamente.

Identificar a los responsables del área sujeta a revisión, comunicar el inicio de una revisión conforme al plan establecido, documentar la ejecución en cada fase del proceso incluyendo las evidencias correspondientes, socializar los hallazgos que en su caso se detecten, asegurar que se establezcan planes de acción correctiva dentro del marco de las políticas de issue management y publicar el informe final con los resultados de la revisión.

Responsabilidades principales:

• Estrategia y Ejecución: Diseñar, implementar, mantener actualizada y supervisar la estrategia de evaluación de procesos y controles y asegurar alineación con el procedimiento establecido.

• Eficiencia Operativa: Impulsar la eficiencia operativa y de optimización de procesos.

• Liderazgo y Desarrollo de Talento: Construir y desarrollar equipos de alto desempeño enfatizando estándares de calidad, ética y cumplimiento. Fomentar una cultura de innovación y colaboración en el equipo.

• Relación con Stakeholders: Establecer y mantener relaciones sólidas con stakeholders relevantes, tanto internos como externos.

Requisitos del perfil

• Experiencia: 10+ años con una trayectoria comprobada en procesos de auditoría en instituciones financieras y en posiciones de liderazgo gerencial.

• Educación: Licenciatura en Administración, Contabilidad, Actuaria, Finanzas o campo relacionado. (Necesario Titulado).

• Preferente contar con certificación en Prevención de Lavado de Dinero de la Comisión Nacional Bancaria y de Valores.

• Inglés: avanzado (Necesario)

• Manejo de Office: Excel y Power point .(Necesario Avanzado).

Conocimiento técnico:

• Diseño y ejecución de procedimientos de evaluación de riesgos y controles.

• Dominio de la regulación de Prevención de Lavado de Dinero, normatividad, riesgos y controles en banca.

• Conocimiento avanzado en evaluación de procesos e identificación de riesgos no mitigados.

• Experiencia en gestión de procesos end to end

Habilidades clave

• Gestión de talento y construcción de equipos de alto rendimiento comprobado

• Comunicación efectiva e influencia en equipos directivos.

• Orientación a resultados y capacidad de negociación.

• Liderazgo estratégico y visión de cumplimiento.

• Excelencia Operativa

• Comunicación efectiva y transversal

• Innovación y adaptabilidad

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Job Family Group:

Compliance

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Job Family:

Compliance Independent Assessment

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Time Type:

Full time

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Most Relevant Skills

Business Acumen, Credible Challenge, Data Analysis, Laws and Regulations, Management Reporting, Policy and Procedure, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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