Compliance Assurance Officer-VP

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Independent Assessment Program responsible for assessing compliance risks and providing

governance and oversight of compliance with Laws, Rules, Regulations and/or Policies. Also responsible for performing independent assessment activities (on-going monitoring and/or testing) to evaluate the design and/or performance of business processes and/or controls; reporting and escalating exceptions/ issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include:

• Developing, implementing, executing and reporting Compliance Independent Assessment (CIA) reviews in accordance with the CIA Plan.
• Participating in the planning, executing, and reporting of CIA reviews and compliance issue validation activities.
• Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
• Utilizing innovative CIA solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
• Developing effective relationships within ICRM and with other stakeholders including Business process owners and Internal Audit function.
• Identifying industry best practices and share insight with the CIA team on a regular basis.
• Informing CIA / Compliance management of significant compliance matters that require their attention or action.
• Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs.
• 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.

Qualifications:

• 6-10 years of relevant experience
• Experience in planning, executing, and reporting on compliance reviews and issue validation activities
• 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
• Understanding of rules, laws, and regulations, and specific regulatory requirements
• 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
• Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
• 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
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• 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:

• Bachelor's/University degree, Master's degree preferred
• 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; Advanced degree a plus

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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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