Compliance Testing Officer - Tampa, United States - Citi

Citi

Verified Company

Tampa, United States

3 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s ICG Compliance Independent Assessment (CIA) team, responsible for assessing compliance risks and controls implemented by the first and second line of defense.

Also responsible for performing independent assurance 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.

Responsibilities:

Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the CIA Testing and (or) Monitoring Plan.
Participating in the planning, executing, and reporting of CIA reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CIA Plan.
Executing compliance controls testing, transactional testing, or compliance controls monitoring activities based on the predefined testing plan.
Documenting findings and report to the CIA management team.
Utilizing innovative CIA solutions including Data Analytics to increase value and reduce costs of compliancerelated activities.
Developing effective relationships within the CIA function and with key business stakeholders including operations and technology process owners.
Promoting knowledge sharing and promulgation of best practices across ICRM and the Business.
Informing CIA management of significant compliance matters that require attention or action.
Additional duties as assigned.

Qualifications:

Knowledge of Compliance laws, rules, regulations, and risks that impact Securities Services Businesses.
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 testing, and reporting activities.
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit 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 interpersonal 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 nonexecutives and executive management and across a number of business lines and control functions.
Recommends appropriate and pragmatic solutions to risk and control issues.
Applies knowledge of key regulations to influence audit scope.
Develops effective line management relationships to ensure strong understanding of the business.
Must be a selfstarter, flexible, innovative, and adaptive.
Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization.
Knowledge in Institutional Securities Services area of focus, such as Agency Services, Custody, Securities Lending, Hedge Fund Services, and related operations.

Education:

Experience in compliance, legal or other controlrelated 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

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Compliance and Control

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Job Family:

Testing

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Time Type:

Full time

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Primary Location:

Tampa Florida United States
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Primary Location Full Time Salary Range:
$79, $118,680.00

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Anticipated Posting Close Date:

Jul 28, 202- Citi is an equal opportunity and affirmative action employer.

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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