Compliance Testing Sr Officer- Volcker/Swap Dealer VIT- SVP - Hybrid

Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second lines 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:

• Overseeing the development, implementation, and execution of the compliance testing, continuous testing, and reporting programs globally in accordance with the Compliance Testing (CTA) Plan.
• Managing the planning, execution, and reporting of compliance testing reviews and issue validation activities for a component of a product lines, functions, or legal entities globally in accordance with CTA Plan.
• Managing a team or multiple teams of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, etc.
• Developing and executing a robust CTA Pan to monitor for compliance with rules, laws, and regulations.
• Executing interactive programs of support and testing, in accordance with CTA requirements, that provide regulators and stakeholders’ insight into compliance trends, themes, issues, and root causes.
• Managing and monitoring budgets for assigned CTA projects.
• Serving as a lead reviewer for complex reviews, analyzing and writing report findings, and communicating findings to corresponding control/process owners.
• Develop CTA Risk Assessments and CTA Monthly and Quarterly Reporting Summaries.
• Participating in the development and enhancement of the CTA Methodologies and Standards for auditing, testing, monitoring, and reporting.
• Analyzing and providing credible challenges to team’s assessment of the control environment (of relevant assessment units), including Manager’s Control Assessments (MCA), Internal Audit Assessments (and related control metrics such as Issues Being Actioned by Management (IBAM), on-time remediation, Reopens, and MCA effectiveness), Regulatory Issues (and its metrics), Compliance Testing Results, and Legal Matters.
• Developing effective relationships within CTA function and with other stakeholders including business and technology process owners, and Internal Audit function.
• Building and managing relationships with senior functional management executives, as well as working closely with the regional Compliance Testing Heads, regional Heads of Internal Audit, and functional auditors to ensure delivery of a plan of work that provides testing over the key risks for the Global Corporate Functions. 
• Promoting knowledge sharing and promulgation of best practices across ICRM and the business.
• Identifying industry best practices and share insight with the CTA teams on a regular basis.
• Informing CTA senior 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

Qualifications:

• 10+ years of experience
• Understanding of and expertise of compliance analysis of laws, rules, regulations, risks and typologies relating to financial services, with focus on Volcker and Dodd Frank regulations.
• Extensive global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the Financial Services Industry
• Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
• Knowledge of and extensive experience with auditing/testing principles including planning, risk assessments, risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, surveillance systems, and reporting activities
• Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
• Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers
• Demonstrates extensive abilities as a team leader, including creating positive environments, monitoring team workloads, respecting the work-life quality of team members, providing candid and meaningful feedback in a timely manner, and keeping leadership informed of progress
• Strong interpersonal skills for building key stakeholder relationships and engaging teams
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging to both small and broad audiences.
• Excellent organizational skills with the ability to manage multiple workstreams and projects.
• Effectiveness in working within a large-scale and complex matrix organization
• Excellent oral and written communication and writing skills with both executives and non-executive management
• Ability to operate across varied markets and financial services 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
• Ability to work collaboratively with regional and global partners in other functional units; to influence and lead people across cultures at a senior level
• Experience in managing regulatory exams and relationships with examiners, auditors, etc
• Acceptable knowledge of derivatives, market structure and investment banking businesses.

Education:

• Bachelor's/University degree; Master's or advanced degree(s) preferred
• Relevant industry certifications or registrations a plus.
• Experience in compliance, legal or other control-related function with a financial services firm, regulatory organization,  legal/consulting firm, or a combination thereof
• Experience in area of focus; previous experience managing a diverse staff

Knowledge of, and experience with components of, the Volcker Rule and associated laws rules or regulations.

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