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Serve as Testing lead for Independent Compliance Risk Management (ICRM)’s Compliance Testing team conducting GSP ( Global Spread Products) Institutional Fixed Income reviews. Responsible for leading independent testing reviews to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating issues and any violations of regulations and or breaches of policy; issues management; validating adequacy of remediation taken to address reported issues.Key Activities include:
Developing, implementing, and executing compliance testing, and reporting programs within Fixed Income assigned region in accordance with the Compliance Testing (CT) Plan.
Participating in the planning, executing, and reporting of compliance testing 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 CT Plan.
Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
Development and enhancement of the Compliance Testing Methodologies and Standards for auditing, testing, monitoring, and reporting.
Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
Developing effective relationships within CT function and with other stakeholders including Business process owners and Internal Audit function.
Identifying industry best practices and share insight with the CT teams on a regular basis.
Informing CT 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:
10+ years of experience
Experience in planning, executing, and reporting on compliance testing reviews and regulatory 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
Knowledge of Compliance laws, rules, regulations, risks and typologies
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
Job Family Group:Compliance and ControlJob Family:TestingTime Type:Full timePrimary Location:Jersey City New Jersey United StatesPrimary Location Salary Range:$125,540.00 - $188,310.00Citi 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.Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi (https://www.citigroup.com/citi/accessibility/application-accessibility.htm) .View the "EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/OFCCPEEOSupplementFinalJRFQA508c.pdf) .View the EEO Policy Statement (http://citi.com/citi/diversity/assets/pdf/eeoaapolicy.pdf) .View the Pay Transparency Posting (https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp%20EnglishformattedESQA508c.pdf)Citi is an equal opportunity and affirmative action employer.Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Vacancy expired!