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Operational Remediation Executive / Wealth Management

Job Req ID 23657931 Location(s) Ciudad De Mexico, Mexico Job Category Compliance and Control
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Se desempeña como analista de riesgos de cumplimiento para la Oficina de Enlace de Gestión de Exámenes y Normativas de la Gestión Independiente de Riesgos de Cumplimiento (Independent Compliance Risk Management, ICRM) responsable de promover, apoyar, respaldar e informar las interacciones de Citi con sus reguladores, lo que incluye las consultas que surjan en el curso normal de los negocios fuera de los exámenes específicos, y el manejo de los exámenes de supervisión, a nivel global.

Responsabilidades:

  • Apoyar al personal sénior de la Oficina de Enlace de Gestión de Exámenes y Normativas en el establecimiento de estrategias, políticas, procedimientos, procesos y programas a nivel interno para prevenir violaciones de leyes, normas o reglamentaciones, y diseñar y presentar un marco de gestión de riesgos.
  • Asistir en la coordinación y ejecución de exámenes regulatorios, que incluyen revisiones normativas relevantes para la franquicia y otras actividades de supervisión que afecten los negocios de Citi y las funciones de control.
  • Trabajar con los equipos de agencias de supervisión, lo que incluye redactar respuestas a solicitudes/consultas ad hoc.
  • Trabajar con las Oficinas de Enlace de Gestión de Exámenes y Normativas, los equipos locales de Cumplimiento, y las áreas de Negocios, Riesgos, Legal, Operaciones y Tecnología para recopilar y producir documentos, respuestas e información.
  • Apoyar a la gerencia sénior en la identificación proactiva y derivación (escalamiento) de problemas que surjan en el curso de los exámenes regulatorios y la actividad de supervisión.
  • Brindar asistencia en la promoción de conocimiento de las tendencias identificadas durante la gestión de exámenes.
  • Participa en pruebas de aceptación del usuario (User Acceptance Testing, UAT) en nombre de las Oficinas de Enlace de Gestión de Exámenes y Normativas para mejorar los procesos de seguimiento normativo, los estándares y los sistemas actuales de la empresa.
  • Asistir en la preparación de informes internos y garantizar el seguimiento de exámenes (y solicitudes relacionadas) en forma oportuna.
  • Desarrollar, mejorar y promover el uso de herramientas/plantillas/presentaciones de comunicación coherentes a nivel global.
  • Desempeña deberes adicionales, según se le asignen.
  • Evaluar adecuadamente el riesgo cuando se toman decisiones comerciales, demostrando una consideración particular por la reputación de la empresa y protegiendo a Citigroup, sus clientes y activos, al impulsar el cumplimiento de las leyes, las reglas y los reglamentos correspondientes, acatando la política, aplicando un juicio ético sólido en relación con el comportamiento personal, la conducta y las prácticas comerciales y escalando, administrando e informando los problemas de control con transparencia

Calificaciones:

  • Entre 2 y 5 años de experiencia relevante.
  • Conocimiento de leyes de cumplimiento, normas, reglamentaciones, riesgos y tipologías.
  • Excelentes habilidades de comunicación oral y escrita.
  • Debe tener iniciativa propia, ser flexible, innovador y adaptable
  • Habilidades interpersonales eficaces; capacidad de trabajar de manera colaborativa y con personas de todos los niveles de la organización.
  • Nivel intermedio de habilidades organizativas y de administración de proyectos, y capacidad para manejar varios proyectos a la vez.
  • Dominio de aplicaciones de MS Office (Excel, Word, PowerPoint).
  • Cierto conocimiento del área de enfoque.

Educación:

  • Licenciatura/título universitario o experiencia equivalente.

Wealth Management is the higher segment in Retail Banking. The business has 50,000 customers with Assets Under Management between MXN 2MM and MXN 200 MM each. BEI Investment services manages the liquidity of the enterprises and TTS of enterprises.

Wealth Management business has a remarkable recognition in the brand, with 80 Citigold Offices in 29 States and 48 Cities in Mexico. The most strength of the business is that it is the number 1 CPC Business  (Banca Privada) in Mexico by fifth consecutive year.

Wealth Management Control Area is in charge of maintain and update external and internal regulatory requirements, implement and maintain processes updated, lead internal audit activities, implement, supervise and test the controls of the area; all activities focus on the best experience for the clients.

Responsibilities:

·       Supporting Exam Management and Regulatory Liaison senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and designing and delivering a risk management framework.

·       Assisting with the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions.

·       Working with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to gather and produce responsive documents and information.

·       Supporting senior management in the proactive identification and escalation of issues raised in the course of regulatory exams and supervisory activity.

·       Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm’s current regulatory tracking processes, standards and systems.

·       Assisting in the preparation of internal reporting and ensure tracking of exams (and associated requests) on a timely basis.

·       Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations.

·       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.

·       Maintain contact with the Bankers and the vendor in order to organize the logistic for the meetings with the clients

·       Extract the customer´s data and send it to operations team

·       Received and organized the documents previously elaborated by Operations Team

·       Maintain the control regarding all the logistic of the documents

·       Keep a record of the meeting with the clients

Qualifications:

·       Knowledge of Compliance laws, rules, regulations, risks and typologies

·       2 to 5 years of experience in the financial sector, desirable in Control and Compliance

·       Excellent written and verbal communication skills

·       Must be a self-starter, flexible, innovative and adaptive

·       Effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

·       Proficient in MS Office applications (Excel, Word, PowerPoint) Intermediate

·       Some knowledge in area of focus

·       High level of organization in logistic

·       High sense of solving operational/logistic problems

·       Sense of responsibility and commitment.

Education:

·       Bachelor’s degree; experience in control-related function in the financial services firm, regulatory organization, administration, finance and Economy areas or a combination.

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Job Family Group:

Compliance and Control

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Job Family:

Regulatory Liaison & Exam Management

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Time Type:

Full time

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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.

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 review Accessibility at Citi.

View the "EEO is the Law" poster. View the EEO is the Law Supplement.

View the EEO Policy Statement.

View the Pay Transparency Posting

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