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Compliance Risk Management Officer

Job Req ID 22485631 Primary Location Jacksonville, Florida; Tampa, Florida Job Category Compliance and Control
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Serves as a senior Regulation W Compliance Risk Officer for Independent Compliance Risk Management (ICRM), Regulation W Compliance Office, responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent Regulation W violations and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams and Independent Risk Management, in order to partner to develop and apply Regulation W awareness and ICRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework.  Primary responsibilities include monitoring Regulation W Compliance risk behaviors, providing day-to-day compliance advice relating to Regulation W 23A/23B covered transaction requirements, and guidance to support function/business/product for Regulation W which includes internal policies and procedures.

Responsibilities:

  • Delivering and maintaining best-in-class Regulation W compliance program, policies, procedures, and practices for ICRM.  Translates ICRM strategy and goals across Citi's clients, products, and geographies in a succinct and clear manner; provide direction and guidance on the program.
  • Serving as a subject matter expert on Citi's Compliance programs.  Provides Regulation W expert guidance to function/business/product on a real-time basis to manage compliance risk. 
  • Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
  • Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance in order to support function/business/products.
  • Analyzing and scoping the impact of new and complex regulatory developments across senior function, business/product, including cross-border impact.
  • Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.
  • Participating in industry groups and trade association working groups or other forums.
  • Leading initiatives and managing high-impact special project work streams with a results driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.
  • Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.
  • Design and lead compliance and control reviews.
  • Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

Qualifications:

  • Advanced knowledge of Compliance laws, rules, regulations, risks and typologies.
  • 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 written and verbal communication and interpersonal skills.
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Advanced analytical skills.
  • Ability to both work independently and collaborate with team members.
  • Excellent project management and organizational skills and capability to handle multiple projects at one time.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).   
  • Demonstrated knowledge in area of focus including reporting of Section 23B security purchase transactions.
  • Proficient in preparing training materials, audience identification, and tracking training completions.

Education:

  • Bachelor’s degree; experience in Regulation W 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 preferred.

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Job Family Group:

Compliance and Control

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Job Family:

Compliance Risk Management

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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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View the EEO Policy Statement.

View the Pay Transparency Posting

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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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