Compliance Testing Senior Officer - Equities & Spread Products (Senior Vice President)

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.

In this role, you’re expected to:

• Developing, implementing, and executing compliance testing, continuous testing, and reporting programs in accordance with the Compliance Independent Assessment (CIA) 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 in accordance with CIA 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 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.
• Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
• Developing effective relationships within CIA function and with other stakeholders including Business process owners, Risk management and Internal Audit function.
• Identifying industry best practices and share insight with the CIA teams on a regular basis.
• Informing CIA management of significant compliance matters that require their attention or action.

As a successful candidate, you’d ideally have the following skills and exposure:

• Extensive experience in Compliance Testing
• Expertise in Equities and/or Spread Products
• Expertise of Compliance laws, rules, regulations, risks and typologies
• Extensive experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for global businesses/programs.
• 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
• Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
• 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

EEducation:

• Bachelor's/University degree, Master's degree preferred

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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.

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