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VP, Compliance RIsk Reporting / Accountability and Consequence Management

Job Req ID 21321804 Primary Location New York, New York; Tampa, Florida Job Category Compliance and Control
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Strategic Control Initiatives (SCI) is a quickly expanding, dynamic function Independent Compliance Risk Management (ICRM), responsible for driving its Risk & Control transformation and establishing a robust compliance control and regulatory engagement framework within ICRM. Within SCI, the Compliance Transformation Program Group is dedicated to “changing the bank” and leads the development of the Compliance Transformation Remediation Plan as well as executes against key milestones in support of Citi’s broader enhancement of its Compliance Risk Management Framework.

A critical component of this work is transformation of Citi’s Compliance Risk Reporting and the Accountability and Consequence Management mechanisms for the remediation of significant compliance issues and compliance risk appetite breaches; and metrics frameworks and inventory. Citi is enhancing these frameworks to ensure that we have best-in-class measures to identify compliance risk (including emerging risks) which provide Citi the ability to take action to ensure we remain within stated risk appetite.

In this role you will serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation, and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, you will engage with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.


  • Influence and support the design and implementation of the Compliance Transformation Program in support of Compliance Risk Management target state,with a focus on Compliance Risk Reporting and Accountability and Consequence Management and Compliance Risk Metrics book of work
  • Support the design and execution of the Action Plan by gathering, tracking, and producing requested items (policies, procedures, reports, etc.), and reporting out to the overall team to coordinate a calculated response to inquiries from project managers, internal and external auditors, etc
  • Partner with technology & data teams to feed business requirements into technology initiatives
  • Develop, maintain and (as needed) present materials describing the progress of the Action Plan
  • Participate in streamlined, proactive, and impactful engagement with senior stakeholders across Citi and beyond to progress the action plan
  • Partner collaboratively with Citi’s other Transformation Groups to ensure alignment in target state design and implementation, including understanding and assessment of dependencies
  • Anticipate and escalate potential challenges and roadblocks proactively and timely  
  • Provide support, as needed, to the wider SCI team with a strong sense of “one team” mentality
  • Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM
  • Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues
  • Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks are appropriately identified and addressed
  • Investigating and responding to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries.
  • Overseeing the monitoring of adherence to Citi’s Compliance Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials
  • Interacting and working with other areas within Citi, as necessary
  • Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
  • Additional duties as assigned

Knowledge and skills:

  • Extensive industry experience, with strong compliance risk reporting, accountability and consequence management and risk appetite background
  • Intellectually curious, operates with a sense of urgency, highly motivated, strong attention to detail, team-oriented, organized
  • Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Significant knowledge and expertise of Compliance laws, rules, regulations, risks, and appropriate controls
  • Experience in the design and implementation of Compliance programs, including program transformations
  • Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
  • Ability to influence people across cultures using sound judgment and successful execution
  • Experience with and previous exposure to internal or external control functions and regulators (incl. the US)
  • Strong track record of effectively assessing and managing competing priorities
  • Comfortable navigating complex, highly-matrixed organizations
  • Comfortable acting as an agent for positive change with agility and flexibility
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
  • 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

Education and/or additional experience:

  • Required: 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
  • Preferred: Advanced degree (e.g. JD, MBA) a plus


Job Family Group:

Compliance and Control


Job Family:

Compliance Risk Management


Time Type:

Full time


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