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Compliance Risk Mgmt Officer - VP - Regulation Management - Global Consumer Bank

Job Req ID 21351340 Primary Location Tampa, Florida; Getzville, New York; Irving, Texas Job Category Compliance and Control
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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, 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.


  • Participating in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Managing a specialized team of Compliance professionals responsible for program execution activities. Oversight for compensation, performance appraisals, staff development, training, etc.
  • 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:
    • Review on a daily-basis system Reg. Insight Module to identify potential applicable Laws, Rules Regulations and conduct disposition and in certain jurisdictions conduct manual monitoring of regulatory changes
    • Write Regulation Summaries and draft obligations to support downstream stakeholders in the management of regulation change and inventory.
    • Conduct Preliminary Assessment Unit Mapping based on Regulation Summaries and Obligations to include taxonomy, legal entity, and applicability. 
    • Coordination with Product and Functional ICRM stakeholders in the confirmation of applicability of regulations.
    • Support the creation of impact assessments and action plans designed to demonstrate necessary adherence to Laws, Rules and Regulations.
    • Support the development and execution of simple and effective control and monitoring processes for Regulation Management
    • Ensure that process is conducted in expected timeframes and promote that countries under the coverage comply as well with Regulations’ compliance date
    • Work in coordination with Regulation Management Managers to provide full coverage to the covered cluster and conduct credible challenge to E2E process executed in the cluster.
    • Work with CCCOs/Business Heads to conduct training and socialize the Regulations Management process among business partners
    • Conduct internal validations and reviews of the laws applicable to the cluster/Segment to understand the content, scope, in order to be able to provide segment advice
    • Collaborate with other ICRM stakeholders to review that a control environment is implemented for regulatory-related processes


  • Expertise in laws, rules, regulations, risks and typologies
  • Awareness of regulatory requirements including local and US laws, international and industry standards
  • Capable to conduct analysis of Laws, Rules, Regulations, as well as interpretation and understand potential applicability to financial services’ entities
  • Strong leadership to coordinate implementations and drive strategy in the area of coverage
  • Ability to challenge business management and escalate issues when appropriate
  • 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
  • Fluent in English
  • Excellent written, verbal and analytical skills
  • Excellent project management and organizational skills and capability to handle multiple projects at one time.
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Must be a self-starter, flexible, innovative and adaptive;
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Ability to work collaboratively with regional and global partners in other functional units
  • Ability to interact and communicate effectively with senior leaders
  • Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
  • Comfortable acting as an agent for positive change with agility and flexibility
  • Effective negotiation skills, and proactive 'no surprises' approach in communicating issues and strength in sustaining independent views
  • Strong track record of effectively assessing and managing competing priorities
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views


Required: Bachelor’s degree; legal experience and in compliance-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Preferred: Advanced degree (e.g. Juris Doctor)  in the field is expected


Job Family Group:

Compliance and Control


Job Family:

Compliance Risk Management


Time Type:

Full time


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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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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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