Serves as a compliance risk analyst 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 protect the franchise of Citi Taiwan. In addition, engages 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.
Key Activities include:
Supporting the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
Reviewing various materials to ensure compliance with various regulatory and legal requirements of Taiwan.
Identifying potential risks and escalating for further review, as required.
Creating and maintaining reports for control, tracking, and analysis purposes and ensures appropriate and secure retention of documents.
Working with more senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
Interacting and working with other areas within ICRM, as necessary.
Coordinating and tracking policy, training, and other compliance risk management initiatives.
Assisting in the preparation, editing and maintenance of Compliance program related materials.
Additional duties as assigned.
Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm.
Knowledge of Compliance laws, rules, regulations, risks and typologies of Taiwan
Excellent written and verbal communication skills
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 project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)