C12 - AML, Sanctions, and AB&C Compliance Monitoring Senior Analyst

This role serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)’s Monitoring 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 monitoring 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

·Assist with the development, implementation, and execution of compliance monitoring and reporting programs within assigned clusters in accordance with the Compliance Independent (CIA) Plan.

·Perform Quality reviews of KYC processes such as Client Risk Evaluation (REM), Periodic Transaction Review (PTR), Global Screening Operations (GSO), Enterprise-Wide reviews (EWR), Cross Sector, and KYC dispensations to assess compliance with Global AML KYC Policies, Standards and Procedures

·Keep track and ensure that all findings are handled properly as per procedures and the reported risks are mitigated

·Participate in the planning, executing, and reporting of compliance monitoring reviews and compliance and issue validation activities for a component of a product line, function, or legal entity within an assigned cluster in accordance with Compliance Independent (CIA) Plan.

·Independently contribute to the development of compliance monitoring improvements.

·Make recommendations to ensure that appropriate controls are in effect to respond to regulatory, procedural or policy standards.

·Perform data analysis to understand issues and create reports to communicate them to management.

·Maintaining subject matter expertise by staying up to date with changes to the Global Policies, Standards, Procedures as well as industry trends and developments

·Additional duties as assigned 

Qualifications:

·5-8 years of experience

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

·Experience with development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities

·Experience in planning, executing, and reporting on compliance reviews and issue validation activities

·Global compliance related experience, and strong knowledge of business processes

·Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills

·Understanding of rules, laws, and regulations, and specific regulatory requirements

·Strong 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

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

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

Education:

·Bachelor's/University degree or equivalent experience

·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; supervisory experience; Advanced degree preferred (e.g. JD, MBA) a plus

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